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20 October 2004
INITIAL ASSESSMENT REPORT
PROPOSAL P295
CONSIDERATION OF MANDATORY
FORTIFICATION WITH FOLIC ACID
DEADLINE FOR PUBLIC SUBMISSIONS to FSANZ in relation to this matter:
17 December 2004
(See ‘Invitation for Public Submissions’ for details)
1
FOOD STANDARDS AUSTRALIA NEW ZEALAND (FSANZ)
FSANZ’s role is to protect the health and safety of people in Australia and New Zealand through the
maintenance of a safe food supply. FSANZ is a partnership between ten Governments: the Australian
Government; Australian States and Territories; and New Zealand. It is a statutory authority under
Commonwealth law and is an independent, expert body.
FSANZ is responsible for developing, varying and reviewing standards and for developing codes of
conduct with industry for food available in Australia and New Zealand covering labelling,
composition and contaminants. In Australia, FSANZ also develops food standards for food safety,
maximum residue limits, primary production and processing and a range of other functions including
the coordination of national food surveillance and recall systems, conducting research and assessing
policies about imported food.
The FSANZ Board approves new standards or variations to food standards in accordance with policy
guidelines set by the Australia and New Zealand Food Regulation Ministerial Council (Ministerial
Council) made up of Australian Government, State and Territory and New Zealand Health Ministers
as lead Ministers, with representation from other portfolios. Approved standards are then notified to
the Ministerial Council. The Ministerial Council may then request that FSANZ review a proposed or
existing standard. If the Ministerial Council does not request that FSANZ review the draft standard,
or amends a draft standard, the standard is adopted by reference under the food laws of the Australian
Government, States, Territories and New Zealand. The Ministerial Council can, independently of a
notification from FSANZ, request that FSANZ review a standard.
The process for amending the Australia New Zealand Food Standards Code is prescribed in the Food
Standards Australia New Zealand Act 1991 (FSANZ Act). The diagram below represents the
different stages in the process including when periods of public consultation occur. This process
varies for matters that are urgent or minor in significance or complexity.

Comment on scope,
possible options and direction
of regulatory framework

Provide information and
answer questions raised in
Initial Assessment report

Identify other groups or
individuals who might be
affected and how – whether
financially or in some other way
INITIAL
ASSESSMENT
Public
Consultation
An IA report is prepared with an outline of issues and
possible options; affected parties are identified and
questions for stakeholders are included

Applications accepted by FSANZ Board

IA Report released for public comment


DRAFT
ASSESSMENT

Comment on scientific risk
assessment; proposed
regulatory decision and
justification and wording of
draft standard
 Comment on costs and
benefits and assessment of
regulatory impacts

Public
Consultation
Public submissions collated and analysed
A Draft Assessment (DA) report is prepared using
information provided by the applicant, stakeholders and
other sources

A scientific risk assessment is prepared as well as other
scientific studies completed using the best scientific
evidence available

Risk analysis is completed and a risk management plan
is developed together with a communication plan

Impact analysis is used to identify costs and benefits to
all affected groups

An appropriate regulatory response is identified and if
necessary a draft food standard is prepared

A WTO notification is prepared if necessary

DA Report considered by FSANZ Board

DA Report released for public comment

FINAL
ASSESSMENT

Those who have provided
submissions are notified of the
Board’s decision
Public
Information
Comments received on DA report are analysed and
amendments made to the report and the draft regulations
as required

The FSANZ Board approves or rejects the Final
Assessment report

The Ministerial Council is notified within 14 days of the
decision

MINISTERIAL
COUNCIL
2
If the Ministerial Council does not ask FSANZ to review
a draft standard, it is gazetted and automatically becomes
law in Australia and New Zealand

The Ministerial Council can ask FSANZ to review the
draft standard up to two times

After a second review, the Ministerial Council can
revoke the draft standard. If it amends or decides not to
amend the draft standard, gazettal of the standard
proceeds
INVITATION FOR PUBLIC SUBMISSIONS
FSANZ has prepared an Initial Assessment Report of Proposal P295, which includes the
identification and discussion of key issues. FSANZ invites public comment on this Initial
Assessment Report for the purpose of considering a possible amendment to the Code for
approval by the FSANZ Board.
Written submissions are invited from interested individuals and organisations to assist
FSANZ in preparing the Draft Assessment for this Proposal. Submissions should, where
possible, address the objectives of FSANZ as set out in section 10 of the FSANZ Act.
Information providing details of potential costs and benefits of the proposed change to the
Code from stakeholders is highly desirable. Claims made in submissions should be supported
wherever possible by referencing or including relevant studies, research findings, trials,
surveys etc. Technical information should be in sufficient detail to allow independent
scientific assessment.
The processes of FSANZ are open to public scrutiny, and any submissions received will
ordinarily be placed on the public register of FSANZ and made available for inspection. If
you wish any information contained in a submission to remain confidential to FSANZ, you
should clearly identify the sensitive information and provide justification for treating it as
commercial-in-confidence. Section 39 of the FSANZ Act requires FSANZ to treat inconfidence, trade secrets relating to food and any other information relating to food, the
commercial value of which would be, or could reasonably be expected to be, destroyed or
diminished by disclosure.
Submissions must be made in writing and should clearly be marked with the word
‘Submission’ and quote the correct project number and name. Submissions may be sent to
one of the following addresses:
Food Standards Australia New Zealand
PO Box 7186
Canberra BC ACT 2610
AUSTRALIA
Tel (02) 6271 2222
www.foodstandards.gov.au
Food Standards Australia New Zealand
PO Box 10559
The Terrace WELLINGTON 6036
NEW ZEALAND
Tel (04) 473 9942
www.foodstandards.govt.nz
Submissions should be received by FSANZ by 17 December 2004.
Submissions received after this date may not be considered, unless the Project Coordinator
has given prior agreement for an extension.
While FSANZ accepts submissions in hard copy to our offices, it is more convenient and
quicker to receive submissions electronically through the FSANZ website using the
Standards Development tab and then through Documents for Public Comment. Questions
relating to making submissions or the application process can be directed to the Standards
Management Officer at the above address or by emailing [email protected].
3
Assessment reports are available for viewing and downloading from the FSANZ website.
Alternatively, requests for paper copies of reports or other general inquiries can be directed to
FSANZ’s Information Officer at either of the above addresses or by emailing
[email protected].
4
CONTENTS
EXECUTIVE SUMMARY ..................................................................................................... 7
BACKGROUND ......................................................................................................................... 7
REGULATORY PROBLEM ......................................................................................................... 7
OBJECTIVE .............................................................................................................................. 8
RELEVANT ISSUES ................................................................................................................... 8
IMPACT OF STRATEGIES ON INCREASING FOLATE INTAKES ...................................................... 8
EXPERIENCES OF OTHER COUNTRIES REGARDING MANDATORY FOLIC ACID FORTIFICATION ... 9
REGULATORY OPTIONS AND IMPACT ANALYSIS ..................................................................... 9
1.
INTRODUCTION.......................................................................................................... 10
2.
REGULATORY PROBLEM........................................................................................ 10
3.
OBJECTIVES ................................................................................................................ 11
4.
BACKGROUND INFORMATION ............................................................................. 12
4.1
4.2
4.3
4.4
5.
REGULATION OF FOLIC ACID IN FOODS IN AUSTRALIA AND NEW ZEALAND .............. 12
INTERNATIONAL REGULATION OF FOLIC ACIDS IN FOODS .......................................... 12
FOLATE ..................................................................................................................... 13
NEURAL TUBE DEFECTS (NTDS) .............................................................................. 14
RELEVANT ISSUES..................................................................................................... 16
5.1
5.2
5.3
5.4
IMPACT OF FOLATE INTAKE IN THE PERI-CONCEPTIONAL PERIOD ............................. 16
IMPACT OF FOLATE INTAKE ON THE GENERAL POPULATION..................................... 17
OPTIMAL LEVELS OF FOLATE INTAKE AND STATUS TO REDUCE THE RATES OF NTDS 20
STRATEGIES USED IN AUSTRALIA AND NEW ZEALAND TO INCREASE FOLATE INTAKE
AND REDUCE INCIDENCE OF NTDS ........................................................................................ 21
5.5
OVERALL IMPACT OF EXISTING STRATEGIES ............................................................. 23
5.6
OVERSEAS EXPERIENCE REGARDING MANDATORY FORTIFICATION ........................... 28
5.7
PRACTICAL ISSUES ASSOCIATED WITH FORTIFICATION ............................................ 29
6.
REGULATORY OPTIONS .......................................................................................... 30
OPTION 1 – MAINTENANCE OF THE STATUS QUO ........................................................ 30
OPTION 2 – EXTENSION OF PERMISSIONS FOR VOLUNTARY FOLATE FORTIFICATION . 31
OPTION 3 – MANDATORY FOLATE FORTIFICATION .................................................... 31
OPTION 4 – INCREASED HEALTH PROMOTION AND EDUCATION STRATEGIES TO
INCREASE FOLATE INTAKES ................................................................................................... 31
6.1
6.2
6.3
6.4
7.
IMPACT ANALYSIS .................................................................................................... 31
7.1
7.2
8.
AFFECTED PARTIES ................................................................................................... 31
IMPACT ANALYSIS .................................................................................................... 32
CONSULTATION ......................................................................................................... 37
8.1
8.2
9.
10.
PUBLIC CONSULTATION ............................................................................................ 37
WORLD TRADE ORGANIZATION (WTO) ................................................................... 38
CONCLUSION .............................................................................................................. 38
IMPLEMENTATION AND REVIEW .................................................................... 39
5
ATTACHMENT 1 - POLICY GUIDELINE - FORTIFICATION OF FOOD WITH
VITAMINS AND MINERALS ............................................................................................. 40
ATTACHMENT 2 - GLOSSARY OF TERMS .................................................................. 44
ATTACHMENT 3 - GLOSSARY OF ACRONYMS ......................................................... 47
ATTACHMENT 4 - SUMMARY OF STRATEGIES USED IN AUSTRALIA AND
NEW ZEALAND TO INCREASE FOLATE AND REDUCE INCIDENCE OF NTDS 48
ATTACHMENT 5 - IMPACT OF FOLATE PROMOTION CAMPAIGNS .................. 58
ATTACHMENT 6 - INTERNATIONAL CASE STUDIES OF MANDATORY
FORTIFICATION WITH FOLIC ACID............................................................................ 62
ATTACHMENT 7 - REFERENCES ................................................................................... 68
6
Executive Summary
Background
In May 2004, the Australia and New Zealand Food Regulation Ministerial Council (the
Ministerial Council) asked FSANZ to investigate mandatory fortification with folic acid as a
possible means of reducing the incidence of neural tube defects (NTDs). The Ministerial
Council also issued a Policy Guideline on Fortification of Food with Vitamins and Minerals
to guide FSANZ’s consideration of the issues.
Regulatory Problem
NTDs are severe congenital malformations of the central nervous system and result from the
failure of the neural tube to close during early embryonic development. The two major types
of NTDs are anencephaly and spina bifida. Babies affected with anencephaly usually die
within first few days of life. Babies with spina bifida usually survive but require extensive
medical and surgical care and the majority of these children suffer from a lifelong moderate
or severe handicap.
It is estimated that approximately 11.5 total births and terminations per 10,000 total births are
affected by NTDs in Australia and that 9.1 total births and terminations per 10,000 total
births are affected by NTDs in New Zealand1.
There is considerable evidence showing that increased folate intakes can reduce the risk of
NTDs. A dose response appears to exist between folate status and the risk of NTDs, with up
to approximately 70% of NTDs preventable by increasing folate status.
It is difficult to obtain the recommended intake of folate through diet alone, with women of
child-bearing age consuming only about half the amount recommended.
Since 1993, both Australia and New Zealand have instigated a health policy recommending
women take folic acid supplements during the peri-conceptional period2. In Australia,
various education initiatives have been undertaken by a number of jurisdictions to encourage
women of child-bearing age to increase their dietary folate and/or take folic acid
supplements. Despite these campaigns, current advice for supplemental folic acid is not
followed by a majority of women in the target group. Reasons for this include:




a large percentage of pregnancies are unplanned;
lack of knowledge among women about the benefits of folic acid;
knowledge not always equating to behaviour change; and
numerous barriers to supplement usage, such as cost, access and compliance issues.
1
Australian data is based on 1996-1997 data and New Zealand data is from 1999. Please note that this data is
not directly comparable due to differences in reporting between the countries including whether stillbirths and
termination are included. This is discussed in more detail in Section 5.
2
Periconceptional period is 4 weeks prior and 12 weeks after conception
7
Since 1995 in Australia and 1996 in New Zealand, certain foods have been able to be
fortified with folic acid. Standard 1.3.2 of the Australia New Zealand Food Standards Code
(the Code) permits folic acid to be voluntarily added to a maximum claim of 100 g per
reference quantity to a number of cereal-based foods, fruit and vegetables juices and drinks,
yeast and meat extracts.
Despite this, total folate intakes in women of child-bearing age have not increased
significantly and are still well below recommended intakes.
Objective
The specific objective of this Proposal is to determine the most effective mechanism to
increase total folate intake in peri-conceptional women to reduce the incidence of NTDs
from current levels in the Australian and New Zealand population.
The risks and benefits to the general population of increased dietary folate intake will be
taken into consideration when making this determination.
Relevant Issues
One of the key issues for consideration is the optimal folate status for decreasing NTDs.
Overseas studies suggest that 900 nmol/L is the optimal level for reducing the occurrence of
NTDs. However, no equivalent studies have been undertaken in Australia or New Zealand.
It is yet to be determined whether the folate intakes and folate status are sufficiently well
described and the reference values appropriate for Australia and New Zealand to predict the
possible number of NTD cases saved through increased folate intake. Risk reduction models
and overseas experience appears to show that the magnitude of the risk reduction is inversely
related to the folate status of the target group, which means that a greater reduction in NTD
risk would be predicted for target groups with poorer folate status.
Another key issue is the impact that any increased folate intake may have on the general
population. While oral folic acid is generally considered to be safe for the majority of the
population (even at high doses (>1 mg/day)), studies suggest that there may be risks to
certain groups, particularly older people.
In particular, concern has been expressed about high doses of folic acid having the potential
to mask the haematological signs of vitamin B12 deficiency. Vitamin B12 deficiency causes
anaemia and can cause neurological damage (peripheral neuropathy, spinal cord damage and
cerebral dysfunction), which may be irreversible if not treated early. The key issue in
relation to potential masking of B12 deficiency is whether further fortification would produce
a masking effect and whether the medical profession depends on the patient’s haematological
profile to make a diagnosis of vitamin B12 deficiency neurological disorder.
Impact of strategies on increasing folate intakes
While it is difficult to attribute any increase in folate intake (or change in incidence of NTDs)
to any particular strategy that has been implemented, the studies examined in the preparation
of this Initial Assessment Report tend to indicate that in Australia and New Zealand:
8


there has only been a small increase in consumption of folate rich foods and folic acid
supplements by the target population (between 3 and 24%); and
voluntary fortification has led to a small improvement in dietary intake of folate in
women of child-bearing age in both Australia and New Zealand with mean folate intake
increases of 11% in Australia and 13% in New Zealand.
Experiences of other countries regarding mandatory folic acid fortification
In the U.S., mandatory fortification of certain foods was introduced in 1996. The
introduction of mandatory fortification appears to have led to:




an increase in dietary intake of folate across all sectors of the community;
increase in measures of folate status for all sectors of the community;
a decrease of 27% in the rate of NTDs following mandatory fortification (compared to
the voluntary fortification period); and
no reported increase in the prevalence of the masking of vitamin B12 deficiency or
increased incidence of twinning.
In the United Kingdom, voluntary fortification has been in place since the late 1980’s and
there is limited data available about the contribution that voluntary folic acid fortification has
made on UK folic acid intakes. The major issue in the UK has been concerns regarding the
masking of B12 deficiency and the potential impact on the elderly population. The UK
government has requested a detailed investigation of this issue prior to making a decision
regarding mandatory fortification of certain foods with folic acid.
Regulatory Options and Impact Analysis
In order to further decrease the incidence of NTDs from current rates, FSANZ is considering
the four following options:
1.
2.
3.
4.
Maintenance of the Status Quo (i.e. voluntary folate permissions for some foods).
Increased permissions for voluntary folate fortification.
Mandatory folate fortification.
Increased health promotion and education strategies to increase folate intakes. This is a
non-regulatory option and could be selected as the sole strategy to further reduce the
incidence of NTDs or be implemented in conjunction with any of the other three
options.
The impact analysis provides initial consideration of the potential impact of each option on
consumers and the community, industry and governments.

FSANZ now seeks comment and information from stakeholders on the range of issues
raised in this Report. Input from all sectors of the community, including consumers,
industry, health professionals and government, is welcomed and encouraged. The
submissions provided during this consultation will inform the Draft Assessment and
assist FSANZ to determine the most appropriate means for increasing folate intake and
decreasing the incidence of NTDs in Australia and New Zealand.
9
1.
Introduction
There is convincing evidence that increased intakes of folic acid can reduce the risk of neural
tube defects (NTDs). NTDs are a family of birth defects, which occur in utero during the
development of the brain or spinal cord.
Over the past 10 years, a number of countries including Australia and New Zealand have
adopted policies to increase the folate intake of women prior to and during pregnancy. The
main primary prevention strategies have been, either singly or in combination: promotion of
diets high in naturally-occurring folate; promotion of folic acid supplements during the periconceptional period; and fortification of the food supply with folic acid.
In May 2004, the Ministerial Council asked FSANZ to investigate mandatory fortification of
food with folic acid as a possible means of reducing the incidence of NTDs. At that time, the
Ministerial Council also issued a Policy Guideline on Fortification of Food with Vitamins
and Minerals (Policy Guideline). This Guideline provides general direction to assist FSANZ
determine the appropriate circumstances under which mandatory fortification should be
implemented (see Attachment 1).
The purpose of this Initial Assessment Report is to:





clearly articulate the regulatory problem sought to be addressed;
identify the objectives of any regulatory action;
identify any relevant issues associated with mandatory fortification of foods with folic
acid (including addressing the issues included in the Ministerial Council Policy
Guideline as detailed above);
detail the potential impacts on all affected parties; and
seek the views of stakeholders and any further available evidence on all of the above
issues.
Glossaries of terms and acronyms used in this report are at Attachments 2 and 3.
2.
Regulatory Problem
NTDs are severe congenital malformations of the central nervous system and result from the
failure of the neural tube to close during early embryonic development. The two major types
of NTDs are anencephaly and spina bifida (see Section 4). Babies affected with anencephaly
usually die within first few days of life. Babies with spina bifida usually survive but require
extensive medical care and the majority of these children suffer from a lifelong moderate or
severe handicap.
It is estimated that up to 500 pregnancies in Australia (Lancaster, 2001) and approximately
30 live and stillbirths in New Zealand year (NZFSA/ NZMoH, 2004) are affected by NTDs
each year. There is considerable evidence showing that increased folate intakes can reduce
the risk of NTDs (NHMRC 1995). An inverse correlation exists between folate status and the
risk of NTDs, with up to 70% of NTDs potentially preventable by increasing folate status
(FSAI Nutrition Sub-committee 2003).
10
Since 1993, both Australia and New Zealand have instigated a health policy recommending
women take folic acid supplements during the peri-conceptional period. In Australia, various
education initiatives have been undertaken to encourage women of child-bearing age to
increase their dietary folate and/or take folic acid supplements.
Despite these campaigns, current advice for supplemental folic acid is not followed by a
majority of women in the target group. Reasons for this include:




a large percentage of pregnancies are unplanned;
lack of knowledge among women about the benefits of folic acid;
knowledge not always equating to behavioural change; and
numerous barriers to supplement usage, such as cost, access, and compliance issues.
It is difficult to achieve the recommended intake of folate through diet alone, with women of
child-bearing age consuming only about half the amount recommended. Since 1995 in
Australia and 1996 in New Zealand, regulations have permitted voluntary fortification of
certain foods with folic acid. Preliminary results (albeit from 1998) show that mean folate
intakes have increased only marginally and are significantly below recommended intakes,
with not all fortified foods being consumed by the target population.
It appears that additional strategies are needed to increase dietary folate intakes in the target
population to ensure a more effective prevention of NTD cases.
3.
Objectives
The specific objective of this Proposal is to determine the most effective mechanism to
increase total folate intake in peri-conceptional women to reduce the incidence of NTDs
from current levels in the Australian and New Zealand population.
The risks and benefits to the general population of increased dietary folate intake will be
taken into consideration when making this determination.
In developing or varying a food standard, FSANZ is required by its legislation to meet three
primary objectives that are set out in section 10 of the FSANZ Act. These are:



the protection of public health and safety;
the provision of adequate information relating to food to enable consumers to make
informed choices; and
the prevention of misleading or deceptive conduct.
In developing and varying standards, FSANZ must also have regard to:





the need for standards to be based on risk analysis using the best available scientific
evidence;
the promotion of consistency between domestic and international food standards;
the desirability of an efficient and internationally competitive food industry;
the promotion of fair trading in food; and
any written policy guidelines formulated by the Ministerial Council.
11
4.
Background information
4.1
Regulation of folic acid in foods in Australia and New Zealand
In May 2004, the Ministerial Council adopted a Policy Guideline on Fortification of Food
with Vitamins and Minerals (refer Attachment 1). The Policy Guideline covers both
voluntary and mandatory fortification and contains several specific order Policy Principles in
relation to the mandatory addition of vitamins and minerals to foods.
Since 1995 in Australia, and 1996 in New Zealand, folic acid has been permitted to be
voluntarily added to a maximum claim of 50% RDI for adults (100 g) per reference quantity
of the following foods: flour; savoury biscuits; breads; breakfast cereals; pasta; fruit and
vegetable juices and drinks; fruit cordial; beverages derived from legumes (Standard 1.3.2 of
the Australia New Zealand Food Standards Code (the Code)). Folic acid may also be added
to analogues of dairy foods and meat but in smaller amounts.
Since 1998, a health claim (describing the established link between adequate maternal dietary
folate intake and a reduction in risk of NTDs developing in pregnancy) has been permitted on
certain fortified and non-fortified foods as part of the Folate–NTD Health Claim Pilot (P170)
and in accordance with Standard 1.1A.2 of the Code. The voluntary use of the folate-NTD
health claim is permitted under certain conditions on listed food products. Food labels
carrying the folate-NTD health claim must contain a footnote advising that the RDI of 200 g
referred to is for adults, whereas for women during the peri-conceptional period the
recommended amount is 400 g per day.
The temporary provision for the folate-NTD health claim has been extended four times and is
now in effect until 13 February 2006.
4.2
International regulation of folic acids in foods
4.2.1
Codex Alimentarius
The Codex Alimentarius does not mandate the addition of particular nutrients to certain foods
other than some special purpose foods.
However for generally consumed foods, the General Principles for the Addition of Essential
Nutrients to Foods (Codex Alimentarius Commission 1991) provide that essential nutrients
may be added to foods for the purposes of: restoration; nutritional equivalence of substitute
foods; fortification; or ensuring the appropriate nutrient composition of a special purpose
food.
4.2.2
Countries with fortification regulations
A number of countries have introduced mandatory requirements for folic acid fortification of
foods in an effort to reduce the incidence of NTDs. These include Canada, the USA,
Indonesia, and a number of South American and African countries.
Voluntary fortification only is also permitted for certain foods in a number of European
countries (including United Kingdom, Ireland and Hungary) and in a number of Middle
Eastern and Asian countries.
12
Further information about international experience of folic acid fortification (and the impact
on NTD rates) is included in Section 5 and Attachment 6.
4.3
Folate
4.3.1
Folate terminology and forms
Folate is a water-soluble vitamin. The term folate is used generically to refer to the various
forms of the vitamin, both naturally-occurring and synthetic, and its active derivatives
(Department of Health 2000).
Natural forms of folate are found in a wide variety of foods including green leafy vegetables,
cereals, fruits, grains, legumes, yeast extract, and liver. This type of folate is referred to as
naturally-occurring folate in this document, to differentiate it from folic acid added to food in
fortification. Naturally-occurring folate generally contains more than one, typically five to
seven, glutamate moieties attached to pteroic acid (polyglutamate) (Ball 1998).
Folic acid, or pteroylmono-glutamic acid (PGA), is the most common synthetic form of
folate and is the form used in food fortification and in the majority of supplements. As its
name indicates, folic acid contains a single glutamate moiety attached to pteroic acid (Ball
1998). Folic acid is sometimes supplied in the form of disodium folate. Folic acid is rarely
found occurring naturally in foods (National Health and Medical Research Council
(NHMRC) 1995).
4.3.2
Recommended Intakes of Folate
The current Recommended Dietary Intake (RDI) for total folate for Australia and New
Zealand range from 50-75 g per day for infants to 200 g per day for the general adult
population. However, the RDIs for pregnant and lactating women are considerably higher, at
400 g and 350 g per day, respectively (NHMRC 1991).
There are potentially adverse health impacts resulting from excess intake of folate and this
has lead to the establishment of Tolerable Upper Intake Levels (TUIL) for each group. The
TUIL has been set using masking of vitamin B12 deficiency by folic acid as the most
appropriate end point. Both the US and EC have established a TUIL of 1000 g per day for
adults with correspondingly lower levels established for children of different ages. The TUIL
established for children by the US and the EC are similar, although not identical (Institute of
Medicine 1998).
Currently Australia and New Zealand have not established TUIL. However, the National
Health and Medical Research Council (NHMRC) and New Zealand Ministry of Health
(NZMoH) are currently conducting a joint project to develop a suite of dietary reference
values including revised Australian and New Zealand RDIs and new TUIL, expected to be
released in late 2005.
4.3.3
Folate bioavailability
Bioavailability refers to the ability of the body to extract, absorb, and metabolise nutrients in
food. The bioavailability of folate is not fully understood and there appear to be a number of
factors that influence it.
13
It is difficult to predict the bioavailability of folate from a mixed diet, based on studies of
individual foods (Brouwer et al, 2001; Gregory 1995; Sanderson et al, 2003).
Factors that influence folate availability from food include:




composition of the food matrix (including the presence of antagonistic components
most notably organic acids binding to other food components and encapsulation within
plant cells leading to reduced exposure to digestive enzymes);
amount of folate consumed;
chemical form of folate; and
host-related factors including nutrient and health status and genetic factors.
Naturally-occurring folate is generally considered to be less bioavailable than folic acid, but
studies in this area are limited and somewhat inconsistent. Bioavailability of folic acid itself,
when added to foods (e.g. fortification), appears to be lower than when it is consumed alone
(e.g. in supplement form) (Brouwer et al, 2001; de Ambrosis et al, 2004). Differences in
bioavailability of the various forms of folate are reflected in the term ‘Dietary Folate
Equivalents’ (DFEs). Some data referenced in subsequent sections of this Report refer to
DFEs, which are further explained in Attachment 2.
4.3.3
Folate metabolism
The majority of dietary folate is absorbed within the proximal region of the small intestine.
Polyglutamate forms of folate have to be hydrolysed to the monoglutamates forms before
they can be absorbed. Some components of food, low pH, some disease states and exposure
to certain drugs and alcohol can inhibit this process and impair the absorption of
polyglutamate food folate, accounting for the relatively low bioavailability of naturallyoccurring folate.
Folate is used by the body in two important pathways: the DNA cycle and the methylation
cycle (refer to Figure 1 in Section 5.2 for a simplified outline of the biochemistry involved).
The DNA cycle is vital to cells as this is how purines and pyrimidines are synthesised.
Therefore, folate is essential for de novo DNA biosynthesis and cell replication. The
methylation cycle provides the cell with an adequate supply of S-adenosylmethionine, which
acts as a methyl donor in a wide range of methylation reactions.
Folate is excreted in the urine, either as the metabolically active form or as breakdown
products. In normal subjects urinary losses are < 10 ug/day (Expert Group on Vitamins and
Minerals 2002). A small amount is also excreted in the bile and faeces.
4.4
Neural Tube Defects (NTDs)
NTDs are a family of congenital defects, which arise during the development of the brain and
spinal cord in utero. In the very early stage of pregnancy, a band of cells along the dorsal
surface of the embryo develop into a hollow tube called the neural tube, which eventually
forms the spinal column and central nervous system. This process, called neurulation,
reaches completion by day 22 to 28 after ovulation (Van der Put et al, 2001; Verity et al,
2003). Incomplete closure of the neural tube may lead to one or more of the following three
neural tube defects:
14

Spina bifida – This is a condition whereby incomplete closure of the neural tube results
in the spinal cord being exposed or protruding through a gap in the spine. Over 80% of
infants born with spina bifida survive into adulthood, but can develop leg paralysis or
weakness, lack of bowel or bladder control and excess fluid around the brain
(hydrocephalus).

Anencephaly – This condition is characterised by a failure of the anterior neural tube to
close, resulting in the total or partial absence of the cranial vault and brain tissue.
Together spina bifida and anencephaly account for 90% of all cases of NTDs. Infants
are usually stillborn or die shortly after birth.

Encephalocoele – This condition is characterised by the meninges and/or brain tissue
extruding through a defect in the skull. This is the least frequent of the neural tube
defects (Lancaster and Hurst, 2001). The survival pattern of encephalocoele results in a
low proportion of stillbirths, the majority of deaths occurring within the first year of
life, and a long-term survival of around 50% (Kalucy et al, 1994).
The process of brain and spinal cord development can be disrupted by genetic and
environmental factors. The risk of NTDs is increased by: certain single-gene disorders and
chromosomal anomalies; maternal factors such as diabetes mellitus; use of anticonvulsant
medication; and inadequate folate intake. The risk is also increased in women who have
previously had a NTD-affected pregnancy (rate of NTDs in this high risk group ?100-500 per
10,000 births) (Cornel and Erickson in (NZMoH 2003). Differences in the incidence of
NTDs have also been associated with geographical location, ethnicity, seasonal variation,
maternal age, and socioeconomic status (Van der Put et al, 2001).
In Australia, the average NTD incidence rates reported for 1996-1997 were 11.5 births and
terminations of pregnancy per 10,000 total births comprising:



4.6 per 10,000 total births for anencephaly;
5.7 per 10,000 total births for spina bifida; and
1.2 per 10,000 total births for encephalocoele (Lancaster and Hurst 2001).
Based on South Australian data accumulated over a number of decades and generalised to the
Australian population, it appears that up to 500 pregnancies (births and terminations) are
affected by a NTD each year (Lancaster and Hurst 2001).
In New Zealand approximately 30 live or stillbirths are affected by a NTD each year
(NZFSA/ NZMoH 2004). In 1999, the prevalence rate per 10,000 was 9.1 total births
(including live births, stillbirths and terminations) (NZMoH 2003).
Care needs to be taken in comparing NTD rates between Australia and New Zealand due to
differences in definitions and data collections including uncertainty regarding the
ascertainment of terminations included in the data. In most countries the occurrence of NTDs
is between 5-30 per 10,000 births (Cornel and Erickson in (NZMoH 2003).
The rate of infants born with NTDs appears to have been declining in many countries since
the 1980s (including Australia and New Zealand). The reasons for this are not entirely clear
but cannot be fully explained by increased screening and terminations.
15
5.
Relevant Issues
The purpose of this section is to detail all issues that are relevant to consideration of the best
means to reduce the rates of NTDs.
The issues addressed in this section include the impact of folate intake during the periconceptional period and the impact of folate on the general population. Consideration of
these issues assists in establishing the overall benefits and risks associated with increasing
folate consumption and in determining the most appropriate regulatory option.
This section also examines the strategies that have been implemented in Australia and New
Zealand in an attempt to reduce the risk of NTDs and the overall impact of these strategies.
Exploration of these issues is consistent with the requirements of the Ministerial Council that
there be a comprehensive assessment of alternative strategies (including voluntary
fortification and education programs) before a decision is made regarding mandatory
fortification.
Finally, this section of the Initial Assessment Report examines international precedent in
relation to fortification.
5.1
Impact of Folate Intake in the Peri-conceptional Period
5.1.1
Potential risks of inadequate folate intake
Patterns of nutritional deficiency have historically been correlated with an increased
prevalence of NTDs around the world. In 1964, it was noted that women who delivered
infants with NTDs had suspected folate deficiencies resulting from abnormal folate
metabolism (Hibbard 1964).
Other early studies investigated the use of multi-vitamin supplementation (during the periconceptional period) in women with a previous history of NTD-affected pregnancies (that is,
a recurrence of a NTD). These double-blind randomised controlled trials concluded that
folate was the active agent in reducing the risk of NTDs (Laurence et al, 1981; Smithells et
al, 1980).
Insufficient maternal folate intake has also been associated with increased risks of preterm
delivery, infant low birth weight and foetal growth retardation (Scholl and Johnson 2000).
5.1.2
Potential benefits of increased folate intake
More recent studies suggest that folic acid supplementation can significantly reduce the risk
of NTDs. Some of these studies have been population-based interventions (Berry et al, 1999)
while others have been randomised controlled trials ((MRC Vitamin Study 1991), Czeizal
and Dudas 1992). These studies demonstrated that folic acid supplementation at levels
ranging from 400 g to 4 mg per day significantly reduced the incidence of NTDs (up to
80%). These studies have been supported by a meta analysis of previous studies, which
concluded that folate supplementation at rates of between 360 g to 4 mg per day (during the
peri-conceptional period) reduced the first occurrence and recurrence of NTDs (Lumley et al,
2001).
16
It should be noted that all of these studies are based on folic acid supplementation and not
fortification of food with folic acid. Evidence is emerging that fortification of foods with
folic acid can deliver comparable results (refer case studies in Attachment 6).
Subsequent research has demonstrated that the decrease in NTDs appears to be dependent on
the baseline folate status and rate of NTDs (Berry et al, 1999).
5.1.3
Potential risks of increased folate intake
The potential risks associated with folic acid supplementation have also been examined. Folic
acid supplementation has not been found to cause a significant increase in miscarriage,
ectopic pregnancy or stillbirth. Although several studies have described a trend towards
increased risk of multiple gestation (e.g. (Czeizel et al, 1994) and (Lumley et al, 2001)), this
trend has not been observed in the US where there has been mandatory fortification of
enriched cereal grains since 1996 ((Shaw et al, 2003); (Waller et al, 2003)).
5.2
Impact of Folate Intake on the General Population
5.2.1
Potential risks of inadequate folate intake
In developed countries, folate deficiency in the general population is rare, however, pregnant
women, the elderly and low socioeconomic groups are at increased risk of folate deficiency
(De Bree et al, 2002).
Very little information is available on the prevalence of folate deficiency in Australia and
New Zealand. However, some studies suggest that the folate status levels are sub-optimal or
deficient in only 2-5% of the population ((Metz et al, 2002), (Flood et al, 2004) and(Ferguson
et al, 2000).
If there is inadequate folate in the diet, the activity of the methylation and DNA cycles is
reduced. A decrease in the activity of the DNA cycle is most obvious in rapidly dividing
cells. For example, decreases in red blood cell production, which result in megaloblastic
hematopoiesis, with characteristic changes in bone marrow and peripheral blood and a
progressive decline in erythrocyte, leukocyte and platelet counts. Failure of DNA synthesis
can result in an increased susceptibility to infection, a decrease in blood coagulation, and
secondary malabsorption (FAO/WHO expert consultation on human vitamin and mineral
requirements 1998).
Changes in the activity of the methylation cycle may result in elevated levels of plasma
homocysteine which has been recognised as a risk factor for cardiovascular disease (CVD)
(Boushey et al, 1995). The most common cause of elevated plasma homocysteine levels in
the general population is purported to be folate deficiency, consistent with its role as a
cofactor in the conversion of homocysteine to methionine.
Chronic, severe folate deficiency has also (rarely) been associated with neurological disease
(Manzoor and Runcie 1976). This may be due to the fact that folate is concentrated in nerve
tissue compared to the plasma, providing nerve tissue with adequate supplies even when
plasma folate levels have been inadequate for some time. For this reason, anaemia will often
present clinically earlier than the neuropathy.
17
5.2.2
Potential benefits of increased folate intake
There may be potential benefits in that increased serum folate concentrations may lead to a
lowering of the mean blood concentrations of homocysteine in the population and a decrease
in the prevalence of severely elevated homocysteine concentrations (HLT Collaboration
1998; Jacques et al, 1999). It is possible that this will lead to a reduction in the incidence of
CVD (Wald et al, 2002). However, there is still some uncertainty as to whether
homocysteine levels are a causative agent of cardiovascular disease and if folic acid treatment
will be an effective intervention (Eikelboom et al, 1999; O'Leary et al, 2004; Verhoef and
Katan 2004).
5.2.3
Potential risks of increased folate intake
The available data show that no adverse effects are associated with the consumption of
naturally-occurring folate as the folate levels in food are not high enough to pose a risk of
toxicity (Institute of Medicine 1998).
While oral folic acid is generally considered to be safe for the majority of the population
(even at high doses (>1 mg/day)), studies suggest that there may be risks to certain groups.
In particular, concern has been expressed about high doses of folic acid having the potential
to mask the haematological signs of vitamin B12 deficiency. Vitamin B12 deficiency causes
anaemia and can cause neurological damage (peripheral neuropathy, spinal cord damage and
cerebral dysfunction), which may be irreversible if not treated early.
The biochemical pathways of folate and vitamin B12 interact (see Figure 1) and it is this
interaction which results in the masking effect. Folate intake can resolve the haematological
symptoms and thus delay the appearance of neurological symptoms and diagnosis of vitamin
B12 deficiency. The relationship between anaemia and the development of neurological
symptoms is complex, with some cases of deficiencies exhibiting only the neurological
symptoms (Campbell 1996; Lindenbaum et al, 1988; Savage and Lindenbaum 1995) cited in
(European Commission 2000). Furthermore, in some cases folate intake has precipitated or
exacerbated vitamin B12 deficiency-related neuropathy although this has not occurred in all
cases (Dickinson 1995).
Vitamin B12 deficiency is most common in elderly people, mainly due to less efficient
absorption of nutrients in the gut. In New Zealand it has been estimated that 10% of adults
over 65 years of age have vitamin B12 deficiency (NZFSA/ NZMoH 2004). In the US and
UK, it is estimated that approximately 10-15 % of people over 60 years of age are affected by
vitamin B12 deficiency, which may eventually lead to megaloblastic anaemia (Baik and
Russell 1999; Clarke et al, 2004). Vegans are also at particular risk of developing vitamin
B12 deficiency due to the complete absence of animal foods in their diet.
The prevalence of vitamin B12 deficiency in the Australian and New Zealand general
populations is not well defined. The limited studies undertaken tend to suggest that the level
of vitamin B12 deficiency is between 1 and 22% ((Flicker et al, 2004), (Flood.V.M. et al,
2001) and (Ferguson et al, 2000). However, care should be taken in the interpretation of this
data because the reference values that define deficiency (as used in the studies) vary.
18
Table 1: Australian and New Zealand Serum Vitamin B12 Levels
Study Group
Australia
Perth
299 men aged over 74 years
Perth
273 women aged over 69 years
New South Wales
371 males and females aged
over 49 years
New Zealand
Dunedin
216 women (aged 18 – 45 years)
Dunedin
140 boys (aged 14 – 19 years)
1
2
Results
Author
14 % were deficient1
(Flicker et al, 2004)
6% were deficient1
(Flicker et al, 2004)
22% had serum B12 levels below
185 pmol/L, suggesting
deficiency
(Flood.V.M. et al, 2001)
2% were vitamin B12 deficient2
(Ferguson et al, 2000)
1% were vitamin B12 deficient2
(Ferguson et al, 2000)
deficiency not defined in study, reference range 140 – 646 pmol/L
defined as <60 pmol/L
What other data are available on the extent of vitamin B12 deficiency in Australia and New
Zealand?
The first symptom of insufficient vitamin B12 is often, but not always, megaloblastic anaemia,
followed by neuropathy. It is not clear what causes the neurological symptoms of vitamin
B12 deficiency, however, they may be due to the interruption of the methylation cycle and the
resultant reduction in methylated myelin basic protein (Expert Group on Vitamins and
Minerals 2002; Savage and Lindenbaum 1995).
Therefore the key issue in relation to potential masking of B12 deficiency is whether further
fortification would produce a masking effect and whether the medical profession depends on
the patient’s haematological profile to make a diagnosis of vitamin B12 deficiency
neurological disorder.

There do not appear to be any other significant risks associated with increased folate
intake in the general population. However, some studies have suggested that:

large oral doses of folic acid (>1 mg) may lead to mental changes, sleep disturbances
and gastrointestinal symptoms (Hunter et al, 1970);
folic acid supplementation may have a negative effect on zinc status, although studies
do not show a consistent trend (Expert Group on Vitamins and Minerals 2002); and
there are risks associated with the interaction between folate and drugs used in the
treatment of common conditions such as epilepsy, rheumatoid arthritis, cancer, and
bronchial asthma (e.g. anticonvulsant drugs, folate antagonists and anti-inflammatory
drugs). Some studies suggest that increased folic acid intakes may influence the
effectiveness of these drugs.


Furthermore, the consequences of long-term high-level intakes of folate are not clearly
established (Expert Group on Vitamins and Minerals 2002).
19
Figure 1: DNA Biochemical Pathways Influenced by Folic Acid/Folate Intake
Intestinal Tract
Cell - Vitamin B12
Dependent Reactions
Cell - DNA
Synthesis
Blood Plasma
Substrate
Folic Acid
(fortified food
and supplements)
Folic Acid
Methylated Products
Methylation
Cycle
Folic Acid
Methionine
Homocysteine
1
Dihydrofolate
5-methyl
tetrahydrofolate
Tetrahydrofolate
Purines
DNA Cycle
Methionine
Synthase
Vitamin B12
10-formyl
tetrahydrofolate
5,10-methylene
tetrahydrofolate
(monoglutamate)
Food Folate
(polyglutamates)
Pyrimidines
Monoglutamate
5-methyl
tetrahydrofolate
(monoglutamate)
5.3
2
Optimal levels of folate intake and status to reduce the rates of NTDs
As the association between increased folate intake and reduced incidence of NTDs became
established, both Australia and New Zealand instigated health policies recommending women
take folic acid supplements during the peri-conceptional period. These policies have been
introduced since 1993:

The Australian NHMRC recommended that3: low risk women (no family history of
NTDs, not on anticonvulsant medications) planning a pregnancy or likely to become
pregnant should take folic acid supplementation at 0.5 mg daily, particularly in the
month before, and in the first 3 months of pregnancy; and women with a family history
of neural tube defects should be advised to take folic acid at 5 mg4 per day during the
peri-conceptional period.

Current New Zealand policy recommends that women planning a pregnancy take 800
g5 6of folic acid daily for the month prior to conception and 3 months after, to reduce
the risk of NTDs. Women at high risk of having a baby with an NTD are advised to
take 5 mg folic acid per day for the same period (NZMoH 1999).
3
This policy has since been rescinded by the NHMRC.
4 mg folic acid tablets were not available in Australia at this time.
5
In New Zealand 800 g is recommended as a 400 g folic acid supplement is not available in New Zealand
(NZMoH 2003).
6
In 2004 the NZFSA consulted on proposed changes to the Dietary Supplements Regulations 1985, including
an increase in the maximum permitted level of folic acid in a dietary supplement from 300 g to 500g (NZFSA
2004).
4
20
Since these policies were introduced in Australia and New Zealand, further studies have been
undertaken overseas examining the relationship between folic acid intake, folate status in the
body and NTD risk. Reference amounts for optimal folic acid intake, and optimal serum or
red blood cell folate levels in this context have been established by overseas studies:

Cohort studies found that women who had NTD-affected pregnancies had lower red
blood cell (RBC) folate, serum folate and vitamin B12 levels compared to controls. As
a result of these studies, RBC folate concentrations over 900 nmol/L were established
as the optimal level for reducing the occurrence of NTDs (Daly et al, 1995; Kirke et al,
1993; Wald et al, 2001). This is assumed to be a maximal level, as NTDs which occur
in women with high levels of RBC folate are assumed to be caused by other factors
(Daly et al, 1995).

The risk of having a NTD-affected pregnancy has been inversely associated with folate
levels in a continuous and dose-dependent manner (Daly et al, 1995; Wald et al, 2001).
In addition, risk reduction models based on clinical trials show that the magnitude of
the risk reduction is inversely proportional to the folate status of the target group. This
means that for a given dose of folic acid, a greater reduction in NTD risk would be
predicted for target groups with poorer initial folate status (Wald et al, 2001).

A UK study modelling the effect of food fortification on the population, found that the
maximal protective effect against NTDs would be gained if a fortification program
were chosen such that the entire target group received an intake of 400 g folic acid per
day. On average, this would result in RBC folate levels above the 900 nmol/L optimal
level, which would prevent at least 60% of NTDs from occurring (Daly et al., 1997).

No equivalent studies have been undertaken in Australia or New Zealand.

It is yet to be determined whether the folate intakes and folate status are sufficiently
well described and the reference values appropriate for Australia and New Zealand to
predict the possible number of NTD cases saved through increased folate intake under
the various options proposed. However, the overseas experience suggests that a
reduction in the number of NTD cases is inversely proportional to the initial number of
cases. This will require detailed consideration at Draft Assessment.
5.4
Strategies used in Australia and New Zealand to increase folate intake and
reduce incidence of NTDs
The Policy Guideline adopted by the Ministerial Council provides that any consideration of
mandatory fortification must include a comprehensive assessment of alternative strategies.
The purpose of this section is to identify the alternative strategies that have been employed in
Australia and New Zealand to date. The subsequent section examines the impact that these
strategies have had on reducing the incidence of NTD-affected pregnancies.
The main primary prevention strategies that have been employed in an attempt to reduce the
risk of inadequate folate during the peri-conceptional period (and the attendant risk of NTDs)
have been:
21



promotion of diets high in naturally-occurring folate and promotion of folic acid
supplements during the peri-conceptional period; and/or
voluntary fortification of the food supply with folic acid; and
a health claim in relation to both fortified and non-fortified foods.
These strategies, including their respective impacts and reported advantages and
disadvantages are detailed in Attachment 4 but each of the strategies, together with the
impact of each strategy, is summarised below.
5.4.1
Promotion of diets high in naturally-occurring folate and promotion of folic acid
supplementation during the peri-conceptional period
Three national campaigns have been implemented in Australia, together with a number of
State-based campaigns, to promote increased consumption of folate rich foods and folic acid
supplementation. There have not been any publicly funded campaigns in New Zealand.
It is well recognised that it is difficult to obtain a sufficient intake of folate to further reduce
the incidence of NTDs from naturally-occurring folate in food and it is also generally
reported that campaigns focusing on increasing intake of folate rich foods have not produced
significant improvements in folate intake and have not conferred significant protective effects
against NTDs (Brown et al 1997 in (Chan et al, 2001)
Australia and New Zealand have policies promoting the use of folic acid supplements and
have promoted the use of supplements in conjunction with campaigns promoting the
consumption of folate rich foods. It is recognised that to be effective, sufficiently high
dosage supplements must be taken consistently during the peri-conceptional period.
However, research suggests that only a small proportion of women take the supplements
during the recommended period, although evidence from New Zealand and Western Australia
suggests that this proportion increased following public health campaigns, but not higher than
approximately 40% (Bower et al 2002, Ferguson et al 2000; Schader and Corwin 1999). It is
unclear whether this rate could be further increased by additional promotional effort.
A significant issue in relation to supplementation is the fact that approximately 45-50% of
pregnancies in Australia and New Zealand are unplanned, and the neural tube develops
before many women know they are pregnant (Schader and Corwin 1999 cited in (NZMoH
2003; The Alan Guttmacher Institute 1999).
What other data are available on the extent of current folate supplement use by the target
group in Australia and New Zealand?
5.4.2 Voluntary fortification of the food supply with folic acid
Voluntary fortification of food with folic acid commenced in Australia in 1995 and in New
Zealand in 1996. Information from 1999 indicates that in Australia at that time 104 folatefortified products were available, while information from New Zealand indicates that at the
end of 2001, there were 81 folate-fortified foods. In both countries breakfast cereals are the
predominant folate fortified food. There does not appear to be more recent data available on
the extent or type of folate-fortified food.
22
The impact of voluntary fortification on dietary intake of folate can be estimated using
modelling of consumption patterns, although an accurate determination is hampered by the
lack of up-to-date information on the available fortified foods. However, it has been
estimated that voluntary fortification has lead to a small improvement in mean dietary intakes
of folate in women of child-bearing age in both Australia and New Zealand with an 11%
increase in Australia (from 213 g to 235 g) and a 13% increase in New Zealand (from 203
g to 234 g) (Abraham and Webb 2001; Newton et al, 2001). However, the mean intakes
were significantly lower than recommended intake levels (of 400 g) in both countries. This
is described further at Attachment 4.
What foods are currently fortified with folic acid and are these foods marketed to the target
group?
5.4.3 Health claim for folate containing foods
In 1998 the former ANZFA approved a health claim that referred to the relationship between
consumption of folate rich foods and reduced incidence of NTDs. The claim was approved
as part of a pilot project exploring a possible management framework for regulating health
claims. The evaluation of the pilot project provided information on the role of claims in
promoting the consumption of folate rich foods. The evaluation found that the claim on
folate rich foods produced some increase in the awareness and changes in eating behaviour of
women (up to 29%). However, there appeared to be no change in sales of folate rich foods
carrying the claim (ANZFA 2000).
5.5
Overall impact of existing strategies
Each of the strategies detailed above has operated in conjunction with one another. As such
it is very difficult to analyse the relative impact of each. However, some comments can be
made about the overall impact of these strategies.
There are a number of different means by which to measure the impact of these strategies
including changes:





in awareness of folate;
to levels of awareness of the folate-NTD association;
to dietary behaviour;
in folate status in women (red blood cell and mean serum folate); and
in overall rates of NTDs.
Relevant data in relation to these is shown at Attachment 5.
23
5.5.1
Impact of these strategies on awareness of folate
Knowledge regarding folate and its importance is integral to dietary change and folic acid
supplement use. To increase folate consumption and reduce the risk of an NTD-affected
pregnancy, women of child-bearing age need to be aware of the association between folate
and neural tube defects, know when to increase folate intake, the amount required and how to
obtain this (Abraham and Webb 2001).
In Australia, between November 1998 and November 1999, during an extensive education
campaign in relation to the health claims pilot, the national proportion of women of childbearing age who had heard of folate, increased from 82% to 88% (Abraham and Webb 2001).
Respondents from WA and SA (States that had active folate awareness campaigns), were
more likely to have heard of folate than respondents from other states.
New Zealand has not conducted any publicly funded health campaigns but a survey of
women in Christchurch undertaken in 1999, found that 91% of Christchurch women had
heard of folate ((NZMoH 2003).
5.5.2
Impact of these strategies on awareness of folate-NTD association
The evaluations of State-based public awareness campaigns have shown that the campaigns
have generally been effective in increasing women’s knowledge of the role of folate,
although the figures vary between surveys and regions as outlined at Attachment 4. The
evaluation of the national Folate-NTD Health Claim Pilot found that between 1998 and 1999
there was an increase (from 40% to 46%) in the proportion of women who were aware of the
association between folate and birth defects (ANZFA, 2000). These results also indicate
awareness increased with age, education level and household income (Abraham and Webb
2001; ANZFA 2000)
There is also evidence that population based folate promotion campaigns have not been as
effective for certain groups, such as Indigenous Australians. For example, only 55% of
Indigenous women in Western Australia reported knowledge of the importance of folate,
21% less than non-Indigenous women in the same State (Bower et al, 2004).
5.5.3
Impact of these strategies on behavioural change
Sales data have been used to support reported folate consumption behaviour. The ANZFA
evaluation of the folate health claim pilot indicated that there had been no significant change
in sales of foods high in folate or with added folate between 1998-99 (ANZFA 2000).
The surveys conducted (as detailed at Attachment 5) tend to suggest that there has only been
a small increase in consumption of folate rich foods and folic acid supplements by the target
population (3-24%)(Abraham and Webb 2001).
24
5.5.4
Impact of these strategies on folate status
Folate status is most commonly assessed by measurement of folate in serum and red blood
cells. While the introduction of voluntary fortification of certain foods with folic acid is
presumed to have had a modest positive effect on serum folate levels and red blood cell folate
levels, this is difficult to measure because of the absence of baseline data for the prefortification period.
5.5.4.1 Serum folate status
Serum folate levels indicate folate status at the time of the blood sample. Higher maternal
serum folate levels have been associated with a lower risk of NTD-affected pregnancies
(Kirke et al, 1993).
There are limited data that measure the impact on serum folate levels of strategies to increase
folate intake in Australia and New Zealand (Ferguson et al 2000; Metz et al 2002; Flicker et
al 2004). The mean serum folate levels measures to date are variable, ranging from 12.9
nmol/L (median value) to 25.3 nmol/L.
Only one large study of Victorian adults aged 15-45 measured serum folate before and after
voluntary fortification. This study found that the mean serum folate concentration had
increased by approximately 19% for women and 16% for men, after the introduction of
voluntary fortification. However, it should be noted that no details were available on the
level of folic acid supplement use and as such the change in serum folate levels cannot
necessarily be attributed to voluntary fortification. The proportion of people with low serum
folate levels decreased from 8.5% to 4.1% since fortification (Metz et al, 2002).
5.5.4.2 Red blood cell folate status
Red blood cell (RBC) folate status is recognised as a more reliable indicator of long-term
folate status, as it is not easily affected by daily fluctuations due to food consumption (Booth
et al., 1998). A very low risk of NTDs has been associated with maternal RBC folate levels
greater than or equal to 900 nmol/L (Daly et al, 1995).
There do not appear to be any studies examining RBC folate levels pre and post the
implementation of strategies such as campaigns and voluntary fortification. Information on
the levels of RBC folate in Australia and New Zealand comes from three studies (refer Table
1 below), which suggests that the mean RBC folate concentrations vary from 486 nmol/L to
791 nmol/L (both median values) (Booth et al 1998; Ferguson et al 2000; Queensland Health
2002).
It should be noted that in relation to the New Zealand study, 97% of participants had RBC
folate concentrations within acceptable levels. One third of women were found to have RBC
folate concentrations greater than or equal to the target of 900 nmol/L, in the post-voluntary
fortification period. Less than 5% of women and boys exhibited suboptimal RBC folate
concentrations (Ferguson et al, 2000).
Comparison of these data with international optimal references of 900 nmol/L, suggests that
there may be potential for an increase in folate status to further reduce rates of NTDs.
25
Table 2: Mean RBC Folate Concentrations in Australia and New Zealand
Study
Year of
assay
Australia
1176 adult blood donors
(16-70 years)
111 reference group
(18-65 years)
540 females (25-75 years)
468 males (25-75 years)
322 females (25-75 years)
158 males (25-75 years)
New Zealand
216 women (18–45 years)
140 boys (14-19 years)
Vitamin
supplement
use
Pre-voluntary
fortification
(nmol/L)
No
468*
1995
Postvoluntary
fortification
(nmol/L)
Author
(Booth et al,
1998)
615*
2000
No
No
Yes†
Yes†
626
602
777
706
(Queensland
Health 2002)
Yes††
Yes
787*
791*
(Ferguson et
al, 2000)
*Median RBC folate concentration
†
Vitamin use during 24 hours prior to survey. Type not specified.
††
Combined data from users and non-users of all vitamin supplements. Duration of use or type not specified.
What other data are available on serum folate or RBC folate status of Australians and New
Zealanders?
Are data on folate status required to assess health and safety impact of increases in folic acid
intake? If so, are the quoted or other identified data sources sufficient? If not, what data
would be necessary?
5.5.5
Impact of strategies on NTD rates
5.5.1 In Australia
Since the late 1980s, a marked reduction in the number of actual births affected by an NTD
has occurred, directly attributable to improved methods of prenatal detection and subsequent
termination (Lancaster and Hurst 2001). The change in total NTD rates (comprising births
and terminations where available) for both Australia and New Zealand since the introduction
of voluntary fortification and education strategies is reflected in Table 3 below.
26
Table 3. Incidence7 of NTDs in Australia and New Zealand
Jurisdiction
Australia
South Australia
Victoria
Western Australia
Rate per 10,000 births
Level of ascertainment of
births and terminations
Pre-voluntary
fortification
1991-1995
Postvoluntary
fortification
1996-1997
Percentage
change
Complete ascertainment of
births and terminations
Near-complete
ascertainment of births
and terminations.
Complete ascertainment of
births. Incomplete
ascertainment of
terminations
17.7
15.9
10.1%
17.0
16.2
19.2
10.4
11.5%
35.8%
13.5
16.7
19.2%
9.0
12.9
7.9
12.4
8.0
11.4
7.1
11.5
11.1%
11.6%
10.1%
7.3%
1980
12.0
1999
9.1
24.2%
Australian Capital
Territory
New South Wales
Northern Territory
Queensland
Average Australian Rate
New Zealand
Incomplete ascertainment
of births and
terminations*
* New Zealand data is obtained from a variety of sources: the New Zealand Birth Defects Monitoring Programme (NZBDMP) (live births
1996-2000); the New Zealand Health Information Service (stillbirths 1996-2000); Statistics New Zealand using data from the Abortion
Supervisory Committee (therapeutic terminations 1998-2000) (NZMoH 2003).
Care should be taken in interpreting the above results and drawing any conclusions when
examining the impact of interventions using national data because:

The number of NTD-affected pregnancies is under-reported in most States and
Territories, due to differences in legislative requirements in the reporting of
terminations (Lancaster and Hurst 2001). South Australia is the only State to have
mandatory reporting of terminations of pregnancies; Western Australia has established
the accuracy of data gathered by the Western Australian Birth Defects Registry (Bower
et al, 2000). However, other States and Territories report terminations of NTD-affected
pregnancies on a voluntary basis (Lancaster and Hurst 2001).

As South Australia and Western Australia have the most stringent requirements
regarding the notification of terminations, the decreases observed in these States are
considered “true rates”. The observed decrease in the incidence of NTDs is believed to
be due to the effect of the current folic acid fortification policy combined with various
health promotion activities (Lancaster and Hurst 2001).

Certain population groups are more at risk of having a NTD-affected pregnancy. For
example, data from the Western Australian Bibbulung Gnarneep study (2004)
combined with those of the Western Australian Birth Defects registry were used to
report the number of NTD-affected births and terminations in a group of Indigenous
women, the majority of who lived in rural and remote areas.
7
Incidence is the preferred term for Australian data, and prevalence for New Zealand data
27
This study found that, although there had been an overall decrease in the rate of NTDs
for Indigenous women (from 31.9/10,000 in 1993-1995 to 25.6/10,000 in 1996-2000),
they were almost twice as likely to have an NTD-affected pregnancy than nonIndigenous women (i.e. 25.6/10,000 for Indigenous women compared to 12.9/10,000
for non-Indigenous women in 1996-2000) (Bower et al, 2004).
5.5.2 In New Zealand
As shown in the table above, the prevalence of NTD-affected births in New Zealand was 12
NTD cases per 10,000 births in 1980 (Ferguson et al., 2000). In 1999, the prevalence was 9.1
per 10,000 live births, stillbirths and terminations (NZMoH 2003).
Care should be taken in drawing any conclusions from these results for the following reasons:

Due to a change in the requirement of notification of live and stillbirths which occurred
in 1992, these events are likely to have been previously under-reported and
misclassified (NZMoH 2003).

There have been suggestions that the prevalence of NTD-affected births is lower
amongst Maori people compared to non-Maori people, however recalculation of these
figures to include stillbirths has led to prevalence rates similar to that of non-Maori
people. Maori people are reported to have an NTD-affected birth incidence of 6.7 (live
and still) births per 10,000. Pacific peoples have been reported as having an NTDaffected birth prevalence of 3.5 per 10,000 births, lower than that of both Maori and
Non-Maori people (NZMoH 2003).
What, if any, other more recent data are available on true incidence/prevalence of NTDs in
Australia and New Zealand?
5.6
Overseas experience regarding mandatory fortification
Overseas experience in similarly developed countries provides an important source of
information to guide consideration of mandatory fortification with folic acid in Australia and
New Zealand. A number of countries require mandatory fortification of certain foods with
folic acid. These include Canada and the United States, the majority of South American
countries, and countries from Africa and Asia. The majority of these countries require folic
acid fortification in cereal foods. Further details of countries that have mandatory
fortification of certain foods are included at Attachment 6.
Unfortunately most of these countries do not appear to hold data relating to changes to NTD
rates pre and post mandatory fortification. This will however be investigated further by
FSANZ at Draft Assessment.
The United States has the most data available on the impact of mandatory folate fortification.
In addition, the United Kingdom is currently considering several issues that are involved in
the consideration of mandatory folate fortification. The details are given in the 2 case studies
below.
28
5.6.1
United States of America
Mandatory folate fortification of enriched cereal grain products at 140 µg/100g was first
introduced in 1996 and fully implemented by 1998. Fortified products included wheat flour;
bread, rolls and buns; corn grits and meal; and rice and macaroni products. Because these
were staple foods and ingredients, mandatory fortification increased the folate content of
more than one third of the available foods.
Studies found the introduction of mandatory fortification resulted in an average increase of
almost 200 µg folic acid from the diet across all sectors in the community. This was more
than had been predicted possibly because of a higher than anticipated overage level adopted
by industry. Such an increase in intake has led to a significant positive increase in measures
of folate status for all US population groups including women of childbearing age. It has also
reduced the prevalence of folate deficiency.
After the complete implementation of mandatory folate fortification, prenatally ascertained
NTD-affected pregnancies decreased by an average of 27% (approximately 1,000 cases).
The Centers for Disease Control attribute this decrease to mandatory folate fortification.
Concerns about the potential masking of vitamin B12 deficiency and increased rates of
twinning appear to have been unfounded.
Further details of mandatory fortification in the US are included at Attachment 6.
5.6.2
United Kingdom
Voluntary fortification of bread-making flour and breakfast cereals has been in place since
the mid to late 1980s. In 2000, the Committee on the Medical Aspects of Food and Nutrition
(COMA) concluded that on scientific, medical and public health grounds, universal
fortification of flour with folic acid at 240 ug/100g in food products as consumed would
reduce NTD-affected pregnancies by 41% without resulting in unacceptably high intakes in
other population groups.
However, it was subsequently considered that such fortification could result in intakes above
the upper safe level for some older people, which could result in masking undetected vitamin
B12 deficiency for those at risk. New evidence will be gathered and assessed on the possible
adverse health impact of fortification on older people as well as the broader potential health
benefits to the community before a final decision on fortification is made.
5.7
Practical Issues Associated with Fortification
The selection of appropriate food vehicle(s) for fortification is an important consideration. A
number of organisations (Codex Alimentarius Commission 1991; Darnton-Hill 1998; Nutrivit
2000) have published criteria for selecting appropriate food vehicle(s), including the need for
the selected vehicle to:



be regularly consumed by the population at risk in stable, predictable amounts (upper
and lower intake levels known);
be available to the target population regardless of socio-economic status;
supply optimal amounts of micronutrient without risk of excessive consumption or
toxic effects;
29




retain high level stability and bioavailability of the added micronutrient under standard
local conditions of storage and use;
be economically feasible;
be centrally processed so that quality control can be effectively implemented; and;
not interact with the fortificant or undergo changes to taste, colour or appearance as a
result of fortification.
To date, international examples of food vehicles selected for fortification with folic acid are
predominantly cereals foods, as shown in Attachment 6.
Another important consideration is to determine the appropriate quantity of fortificant(s) that
should be added to the food vehicle(s), in order to deliver an effective public health outcome.
FSANZ will further investigate possible foods that could be subject to fortification (and the
level of fortification to be required) in the Draft Assessment.
Consideration will also be given to the practical impacts of fortification in terms of
manufacturing processes, for example:




the purchase and storage of the permitted form of the fortificant(s);
adjustment to processing and manufacturing practices to ensure the successful addition
of the fortificant(s) to their product;
analytical testing to confirm the appropriate levels of fortificant(s) in their product; and
modification to labels to reflect the changing composition of the food.
Some of these issues will also apply to manufacturers using fortified ingredients.
6.
Regulatory Options
In order to determine the most effective mechanism to increase dietary folate intake in periconceptional women to reduce the incidence of NTDs from current levels in the Australian
and New Zealand population, FSANZ is considering the following four options:
1.
2.
3.
4.
6.1
Maintenance of the status quo (i.e. voluntary folate permissions for some foods);
Extension of permissions for voluntary folate fortification;
Mandatory folate fortification; and
Increased health promotion and education strategies to increase folate intakes.
Option 1 – Maintenance of the status quo
Maintenance of the status quo would see the continuation of the existing permissions for the
voluntary addition of folic acid to certain foods, to a level of 50% RDI per reference quantity,
as well as the continuation of the folate-NTD health claim until February 2006. Health
promotion and education strategies to increase folate intakes in women of childbearing age
would also be presumed to continue on an ad hoc basis.
30
6.2
Option 2 – Extension of permissions for voluntary folate fortification
This would permit industry to voluntarily add folic acid to an increased number of food
categories. The additional food categories selected would be based on their ability to
effectively deliver and sustain an increase in the folate status of the target population. The
decision about whether to include folic acid in these additional food categories would
ultimately rest with industry.
6.3
Option 3 – Mandatory folate fortification
Option 3 would require the mandatory addition of folic acid to a prescribed food vehicle(s).
The prescribed food vehicle(s) would be selected based on its ability to effectively deliver
and sustain an increase in the folate status of the target population (while minimising costs
and unintended consequences to the population as a whole). In ascertaining suitable
vehicle(s), whole product categories may not necessarily be affected, for example folic acid
may be added to white bread only as opposed to all bread categories or added to low fat milk
and not full fat milk.
6.4
Option 4 – Increased health promotion and education strategies to increase
folate intakes
Option 4 is a non-regulatory option and could be selected as the sole strategy to further
reduce the incidence of NTDs or be implemented in conjunction with any of the other three
options. It is envisaged that Option 4 would require a considerable increase in the current
health promotion and education strategies in order to further increase folate intakes in the
target population. These initiatives would be aimed at encouraging women of child-bearing
age to eat a diet rich in folate and to take folic acid supplements during the peri-conceptional
period.
7.
Impact Analysis
7.1
Affected Parties
The parties most likely to be affected by this Proposal are:

Consumers and the Community, including women of child-bearing age,
subpopulations at risk of vitamin B12 deficiency, as well as the general population;

Industry, including manufacturers who currently have permissions to voluntarily
fortify their product(s) with folic acid, manufacturers who wish to obtain further
permissions to voluntarily fortify their product(s) with folic acid, manufacturers of
potential food vehicles eligible for mandatory fortification, importers and exporters as
well as manufacturers and retailers of folic acid supplements; and

the Governments of Australia and New Zealand, including State and Territory
Governments which are responsible for the delivery of education strategies.
31
7.2
Impact Analysis
7.2.1
Option 1 – Maintenance of the Status Quo (i.e. voluntary folate permission of some
foods)
7.2.1.1 Impacts on consumers and the community
During the peri-conceptional period, the majority of women would continue consuming diets
with insufficient folate because of the difficulty of consuming the recommended amount of
dietary folate in food and the limitations of effective supplement usage (particularly because
40-50% of pregnancies in Australia and New Zealand are unplanned).
While the rates of NTDs in Australia and New Zealand have been steadily decreasing, it is
unknown if a further reduction in the incidence of NTDs can occur if the status quo is
maintained.
This option requires the target population to know the value of folate rich foods and to
consciously select such foods, which may therefore disadvantage those that are not
knowledgeable about folate.
Under this option there is no assurance to the community that there is sufficient folate in the
food supply to minimise the risk of NTDs (conversely there is minimal risk to the community
in terms of any potential adverse impacts of folate in the diet). The potential opportunity to
further reduce the emotional, social and economic impact of NTDs would not be realised.
For the non-target population, maintenance of the status quo would have minimal impact.
7.2.1.2 Impacts on industry
For industry, only certain foods currently have permissions for the voluntary addition of folic
acid. This allows particular food manufacturers to develop ‘niche’ products and to be able to
differentiate their products from competitors. Manufacturer’s who wish to fortify foods that
are not currently permitted to be fortified would not be able to do so and could not realise the
marketing advantage that this may confer.
Overall, this option would have minimal impact on industry
7.2.1.3 Impacts on governments
The potential opportunity to reduce the costs to government associated with the treatment and
management of NTDs would be lost.
Are there any other impacts on consumers, the community, health professionals, industry and
governments as a result of maintaining the status quo?
How do rates of NTDs in Australia and New Zealand compare internationally?
32
Is there any evidence to suggest that rates of NTDs could continue to decline while
maintaining the status quo? For example, is there any evidence from other countries that
sustained education programs and voluntary fortification eventually leads to sustained
behavioural change in the target group (increased folate intake) and accompanying decreases
in NTDs?
7.2.2
Option 2 - Extension of permissions for voluntary folate fortification
7.2.2.1 Impacts on consumers and the community
Extending permissions for voluntary fortification to new food categories could increase the
folate status of the population and potentially result in a further reduction in the incidence of
NTDs. However, this would only be likely to occur if industry takes up these new
permissions and increases the number of fortified foods available.
Extending permissions for voluntary folate fortification may result in consumers having more
choice and access to folate-rich foods. New fortified products could be developed
specifically for the target population, making it easier for this group to increase their dietary
folate intakes. The impact on consumers will depend on the extent to which industry
embraces additional fortification options and the extent to which consumers in the target
population consciously select folate-fortified foods.
There is potential for consumers to be confused as the range of fortified foods could change
overtime, for example, as fortified products are developed, modified or discontinued.
If consumers do not wish to consume folate-fortified food, under this option they can choose
not to.
This option requires the target population to know the value of folate rich foods and to
consciously select such foods, and therefore this option may disadvantage those that are not
knowledgeable about folate.
The main risk to the community from increasing folic acid intakes in the population is the
potential to mask vitamin B12 deficiency in the older population and vegans. The magnitude
of this risk would depend in large part on the extent to which industry chooses to fortify
foods and whether the foods that are fortified are foods that are specifically for the target
population.
7.2.2.2 Impacts on industry
Extending permissions for voluntary folate fortification would allow industry to develop new
innovative products and provide opportunities for product differentiation. Manufacturers that
chose to fortify their products with folic acid would benefit from normal commercial returns.
Manufacturers would not be forced to bear the costs associated with mandatory fortification.
33
7.2.2.3 Impacts on governments
There would be no additional enforcement responsibility and hence no resource costs under
this option for Governments. If a reduction in NTDs did occur, Governments would benefit
from lower public health costs.
What reduction in NTD rates is possible from increased voluntary fortification?
Will all the benefits of increased voluntary fortification outweigh all the costs?
Can voluntary fortification ensure an effective level of folic acid in the food supply in order
to maximise a reduction in the incidence of NTDs? Please give your reasons.
What food products are suitable for extending permissions for voluntary folate fortification?
Could a sole food vehicle containing folic acid be more successful in decreasing the
incidence of NTDs than several products fortified with folic acid?
7.2.3
Option 3 - Mandatory folate fortification
7.2.3.1 Impacts on consumers and the community
Mandatory fortification would facilitate the passive uptake of increased dietary folate for the
whole population. Assuming the selection of appropriate vehicles for fortification, all women
in the target population, regardless of education or socio-economic status, would have access
to additional folic acid in their diets. This would occur without the need to change food
selections or remembering to take a supplement. It would also provide more protection for
women with unplanned pregnancies.
Under this option, the non-target population would be consuming higher amounts of folic
acid. Consumers may be concerned about long-term consumption of higher amounts of a
synthetic form of folate (folic acid).
Other potential benefits may flow to the general population from increasing folate status. For
example, early studies suggest that folate is linked to a reduced risk of cardiovascular disease.
Mandatory fortification may restrict consumers’ freedom to choose unfortified foods. The
extent of this, however, would depend of the food vehicle(s) selected for fortification.
Consumers may choose to avoid foods fortified with folic acid and this may have other
unintended nutritional consequences. The cost of mandatory fortification may be passed onto
consumers and, depending on the extent of the price increase, may also impact on food
selections.
Under this option, the risk of vitamin B12 masking may increase as folate intakes increase,
particularly for the elderly and for vegans. Health professionals will need to be aware of the
increased potential for vitamin B12 masking and may need to undertake further clinical
procedures in at-risk populations. Health professionals may also need to modify their
education campaigns to reflect the changing sources of dietary folate.
34
The long-term consequences of higher amounts of folic acid in the diet are unknown and as
such the future impact on the community is not clear.
7.2.3.2 Impacts on industry
Mandatory folate fortification would create a ‘level playing field’ for all manufacturers of the
prescribed food vehicle(s). However, this would limit the marketing opportunity to
differentiate products (from those of competitors) and so recoup some of the costs associated
with adding folic acid.
Mandatory fortification may also impact on manufacturers and retailers of folic acid
supplements, especially if consumers perceive that they no longer require supplements due to
the increased amounts of folic acid in the food supply.
Depending on the food vehicle(s) chosen for fortification, mandatory folic acid fortification
may impact on importers and exporters if they need to alter their product in order to comply
with domestic and/or overseas regulations.
Manufacturers of the prescribed food vehicle(s) for fortification would face increased costs
including:



analytical testing costs to confirm the appropriate levels of folic acid in their product;
production related costs, including the cost of adding folic acid; and
the cost of changing labels.
However, based on international experience, the increased costs are unlikely to impact
significantly on overall operating costs.
7.2.3.4 Impacts on governments
If a reduction in NTDs did occur, Governments would benefit from lower public health costs.
This may however be partially offset by any costs associated with vitamin B12 masking,
including potential increased costs associated with the diagnosis of vitamin B12 deficiencies
and the treatment of neurological conditions.
There would be additional enforcement and monitoring responsibilities and hence resource
costs under this option to ensure that manufacturers comply with the mandatory fortification
requirements. There would also be costs associated with monitoring NTD rates to assess the
effectiveness of this option (as required by the Ministerial Council Policy Guideline).
What reduction in NTD rates is possible from mandatory fortification?
Will all the benefits of mandatory fortification outweigh all the costs?
Would consumers be concerned about a lack of consumer choice if mandatory folic acid
fortification were instigated?
How important is consumer choice if it was determined that mandatory folic acid fortification
could deliver net public health benefits?
35
What would be an appropriate food vehicle(s) for mandatory fortification?
From industry’s perspective, what are the advantages and disadvantages of mandatory folic
acid fortification?
What would be the overall cost of adding folic acid to a food product and the likely impact on
the price to consumers?
What would be the expected impact on foods currently fortified with folic acid if mandatory
fortification was instigated?
What monitoring should be undertaken to assess the effectiveness of mandatory fortification
and which government agencies are responsible for, and will undertake, such monitoring?
7.2.4
Option 4 - Increased health promotion and education strategies to increase folate
intakes.
7.2.4.1 Impacts on consumers and the community
To date education campaigns have been undertaken on an ad hoc basis. This could be
enhanced by co-ordinated strategies in Australia and New Zealand that specifically target
women of child-bearing age.
The impacts on the target population would depend entirely on the nature of the strategies
and the responsiveness of the target population to these strategies. The benefit of this option
is that no risks would be posed to the general population.
7.2.4.2 Impacts on industry
There would be minimal impact on industry from this option. However, manufacturers and
retailers of supplements may benefit from the increased sales of folic acid supplements.
7.2.4.3 Impacts on governments
Governments would need to provide additional funds and resources to further improve and
sustain health promotion and education strategies to increase folate intakes. If a reduction in
NTDs did occur, Governments would benefit from lower public health costs.
How effective can health promotion campaigns be in reducing the incidence of NTDs?
Is there any evidence that a targeted campaign to increase folic acid supplement use during
the peri-conceptional period would be more effective than the other three regulatory options
in reducing the incidence of NTDs?
Should health promotion campaigns be the sole strategy to reduce the incidence of NTDs or
used in conjunction with the other regulatory options?
36
Are health authorities interested in increasing their investment in education strategies?
What costs would be involved in running a large-scale health promotion strategy to increase
the folate status of the population?
8.
Consultation
8.1
Public Consultation
This Initial Assessment Report seeks early input on a range of specific issues known to be of
interest to various stakeholders on the likely regulatory impact of this Proposal. The views of
stakeholders will assist in the development of a Draft Assessment and a preferred approach to
further reduce the incidence of NTDs in Australia and New Zealand. Further public
comment will be sought at Draft Assessment, including any proposed draft variation/s to the
Code.
In addition to the statutory requirement for two rounds of public consultation, it is envisaged
that FSANZ will convene a Standards Development Advisory Committee (SDAC)
comprising a broad range of stakeholders. This committee will help identify the views and
opinions FSANZ will need to consider in progressing this Proposal. It is also envisaged that
a Folate Scientific Advisory Group (FSAG) will be established in order to provide advice on
scientific matters.
Given the significant potential public health, social and economic impact of this Proposal,
FSANZ also proposes to undertake a series of targeted consultations to inform and engage
interested stakeholders and the general public. Given the increased risk of NTDs in the
Aboriginal and Torres Strait Islander population, FSANZ will specifically consult on the
impacts of this Proposal for this group. As opportunities arise and as recommended by the
SDAC and FSAG, FSANZ expects to conduct key stakeholder meetings, present at relevant
conferences and seminars, engage in targeted public forums and be proactive in sharing
information with the wider community.
Please note that in July 2004 the New Zealand Food Safety Authority (NZFSA)/New Zealand
Ministry of Health (NZMoH) released a consultation document on solutions to reduce the
incidence of NTDs in New Zealand. There was much interest in the consultation document
with 51 submissions received. The report acknowledged that FSANZ would also be
undertaking public consultation as part of the food standards setting process.
The submissions to the New Zealand paper will be considered during the FSANZ standards
setting process through a formal submission from NZFSA. However, both FSANZ and
NZFSA wish to reiterate to stakeholders that any issues that overlap between documents, or
that are of particular importance or relevance to individual submitters, should be emphasised
in a separate submission to this Initial Assessment Report.
37
8.2
World Trade Organization (WTO)
As members of the World Trade Organization (WTO), Australia and New Zealand are
obligated to notify WTO member nations where proposed mandatory regulatory measures are
inconsistent with any existing or imminent international standards and the proposed measure
may have a significant effect on trade.
This issue will be fully considered at the Draft Assessment stage and, if necessary,
notification will be recommended to the agencies responsible in accordance with Australia’s
and New Zealand’s obligations under the WTO Technical Barrier to Trade and Sanitary and
Phytosanitary Measure Agreements. This will enable other WTO member countries to
comment on proposed changes to Standards where they may have a significant impact on
them.
9.
Conclusion
Since the discovery of the positive effect of folic acid on reducing the risk of an NTDaffected pregnancy, the relationship between folic acid intake, folate status and NTD risk has
been defined in the literature. Reference amounts for optimal folic acid intake and optimal
serum or RBC folate levels in this context have been established.
Baseline folate intake data, although somewhat dated, are available for Australian and New
Zealand populations groups that can be used to estimate dietary folate intakes from potential
fortification scenarios to compare against dietary targets. Some data are available on folate
supplement usage as well as data that describe folate status of the target group. However,
risk reduction models and experience overseas appears to show that the magnitude of the risk
reduction is inversely related to the folate status of the target group, which means that a
greater reduction in NTD risk would be predicted for target groups with poorer folate status.
It is yet to be determined whether the folate intakes and folate status are sufficiently well
described and the reference values appropriate for Australia and New Zealand to predict the
possible numbers of NTD cases saved under each of the proposed options. However
preliminary perusal of these data sources suggests that there is potential for an increase in
folic acid intake to reduce the current rates of NTDs in both countries.
This Initial Assessment Report outlines four options FSANZ is considering to determine the
most effective strategy to further increase the intake of folate. These options range from
maintaining the status quo to changes in mandatory or voluntary fortification and/or increased
health promotion and education activities.
FSANZ now seeks comment and information from stakeholders on the range of issues raised
in this Report. Input from all sectors of the community, including consumers, industry,
health professionals and government, is welcomed and encouraged. The submissions
provided during this consultation will inform the Draft Assessment Report. Stakeholders will
be given further opportunity to comment if the preferred option is regulatory (i.e. options 2 or
3) and a Draft Assessment Report is subsequently released.
Information regarding how to make a submission to Proposal P295 is included in the section
‘Invitation for Public Submissions’ on page 3 of this Report.
38
10.
Implementation and review
During the Draft Assessment stage, FSANZ, following consultation with other relevant
bodies and authorities, will make a decision on which regulatory option is preferred.
Depending on the preferred option, the Proposal may or not proceed at Draft Assessment.
In terms of review, the Ministerial Council Policy Guideline states:
Any agreement to require fortification should require that it be monitored and formally
reviewed to assess the effectiveness of, and continuing need for, the mandating of
fortification.
If a regulatory option of mandating folic acid fortification is chosen, FSANZ can take
responsibility for monitoring food industry response and food composition. However the
monitoring of folate status and NTD rates would need to be undertaken by other more
appropriate authorities.
ATTACHMENTS
1.
2.
3.
4.
5.
6.
7.
The Australia and New Zealand Food Regulation Ministerial Council Policy Guideline
on Fortification of Food with Vitamins and Minerals
Glossary of Terms
Glossary of Acronyms
Strategies used in Australia and New Zealand to increase folate and reduce incidence of
NTDs
Folate health promotion campaigns in Australia and Impact of folate health promotion
campaigns
International experience of mandatory fortification
References
39
Attachment 1
POLICY GUIDELINE
FORTIFICATION1 OF FOOD WITH VITAMINS AND MINERALS
This Policy Guideline provides guidance on development of permissions for the addition of
vitamins and minerals to food.
The Policy Guideline does not apply to special purpose foods the formulation and
presentation of which are governed by specific standards in Part 2.9 of the Australia New
Zealand Food Standards Code (the Food Standards Code).
The policy should only apply to new applications and proposals. There is no intention to
review the current permissions.
The policy does not apply to products that should be or are regulated as therapeutic goods.
This should not lead to a situation were generally recognised foods, through fortification,
become like or are taken to be therapeutic goods.
The policy assumes the continuation of a requirement for an explicit permission for the
addition of a particular vitamin or mineral to particular categories of foods to be included
within the Food Standards Code. Currently the majority of permissions are contained in
Standard 1.3.2 – Vitamins and Minerals.
Regard should be had to the policy in development of regulatory measures applying to the
mixing of foods where one, or both of the foods may be fortified.
The policy for regulation of health and nutrition claims on fortified food is covered by the
Policy Guideline on Nutrition, Health and Related Claims. Claims should be permitted on
fortified foods, providing that all conditions for the claim are met in accordance with the
relevant Standard.
‘High Order’ Policy Principles
The Food Standards Australia New Zealand Act 1991 (the Act) establishes a number of
objectives for FSANZ in developing or reviewing of food standards.
1. The objectives (in descending priority order) of the Authority in developing or
reviewing food regulatory measures and variations of food regulatory measures are:
(a) the protection of public health and safety
(b) the provision of adequate information relating to food to enable consumers to
make informed choices; and
(c) the prevention of misleading or deceptive conduct.
2. In developing or reviewing food regulatory measures and variations of food
regulatory measures the Authority must also have regard to the following:
1
Within the context of this policy Fortification is to be taken to mean all additions of vitamins and minerals to
food including for reasons of equivalence or restoration.
40
(a) the need for standards to be based on risk analysis using the best available
scientific evidence;
(b) the promotion of consistency between domestic and international food
standards;
(c) the desirability of an efficient and internationally competitive food industry;
(d) the promotion of fair trading in food; and
(e) any written policy guidelines formulated by the Council for the purposes of
this paragraph and notified to the Authority.
These objectives apply to the development of standards regulating the addition of vitamins
and minerals to food.
A number of other policies are also relevant to the development of food standards including
the Council Of Australian Governments document ‘Principles and Guidelines for national
Standard Setting and Regulatory Action by Australia and New Zealand Food Regulatory
Ministerial Council and Standard Setting Bodies (1995, amended 1997)(Australia only), New
Zealand Code of Good Regulatory Practice (November 1997), the Agreement between the
Government of Australia and the Government of New Zealand concerning a Joint Food
Standards System and relevant World Trade Organisation agreements.
Specific Order Policy Principles - Mandatory Fortification
The mandatory addition of vitamins and minerals to food should:

Be required only in response to demonstrated significant population health need
taking into account both the severity and the prevalence of the health problem to be
addressed.

Be required only if it is assessed as the most effective public health strategy to address
the health problem.

Be consistent as far as is possible with the national nutrition policies and guidelines of
Australia and New Zealand.

Ensure that the added vitamins and minerals are present in the food at levels that will
not result in detrimental excesses or imbalances of vitamins and minerals in the
context of total intake across the general population.

Ensure that the mandatory fortification delivers effective amounts of added vitamins
and minerals with the specific effect to the target population to meet the health
objective.
Additional Policy Guidance - Mandatory Fortification
Assessment of alternative strategies – consideration must be comprehensive and include for
example assessment of voluntary fortification and education programs.
Requirement to label – no mandatory requirement to label as fortified however, consideration
should be given, on a case by case basis, to a requirement to include information in Nutrition
Information Panel.
41
Monitor/Review – any agreement to require fortification should require that it be monitored
and formally reviewed to assess the effectiveness of, and continuing need for, the mandating
of fortification.
Specific order policy principles – Voluntary fortification


The voluntary addition of vitamins and minerals to food should be permitted only:
 Where there is a need for increasing the intake of a vitamin or mineral in one
or more population groups demonstrated by actual clinical or sub-clinical
evidence of deficiency or by data indicating low levels of intake.
or
 Where data indicates that deficiencies in the intake of a vitamin or mineral in
one or more population groups are likely to develop because of changes
taking place in food habits.
or
 Where there is generally accepted scientific evidence that an increase in the
intake of a vitamin and/or mineral can deliver a health benefit.
or
 To enable the nutritional profile of foods to be maintained at pre-processing
levels as far as possible after processing (through modified restoration2).
or
 To enable the nutritional profile of specific substitute foods to be aligned with
the primary food (through nutritional equivalence).

The permitted fortification has the potential to address the deficit or deliver the
benefit to a population group that consumes the fortified food according to its
reasonable intended use.

Permission to fortify should not promote consumption patterns inconsistent with the
nutrition policies and guidelines of Australia and New Zealand.

Permission to fortify should not promote increased consumption of foods high in salt,
sugar or fat.

Fortification will not be permitted in alcoholic beverages.

Permissions to fortify should ensure that the added vitamins and minerals are present
in the food at levels which will not have the potential to result in detrimental excesses
or imbalances of vitamins and minerals in the context of total intake across the
general population.

The fortification of a food, and the amounts of fortificant in the food, should not
mislead the consumer as to the nutritional quality of the fortified food.
2
The principle of Modified Restoration as derived from The FSANZ document Regulatory principles for the
addition of vitamins and minerals to foods. (Canberra, 2002) is as follows:
Vitamins and minerals may be added, subject to no identified risks to public health and safety, at moderate
levels (generally 10-25% Recommended Dietary Intake (RDI) per reference quantity) to some foods providing
that the vitamin or mineral is present in the nutrient profile, prior to processing, for a marker food in the food
group to which the basic food belongs. The vitamin or mineral must be naturally present at a level which would
contribute at least 5% of the RDI in a reference quantity of the food. This regulatory principle is based on the
restoration or higher fortification of the vitamin or mineral to at least pre-processed levels in order to improve
the nutritional content of some commonly consumed basic foods.
42
Additional Policy Guidance - Voluntary Fortification
Labelling – There should be no specific labelling requirements for fortified food, with the
same principles applying as to non-fortified foods. An added vitamin or mineral is required to
be listed in the Nutrition Information Panel only if a claim is made about it and the vitamin or
mineral is present at a level for which a claim would not be misleading. An added vitamin or
mineral must be listed in the ingredient list under current labelling requirements.
Monitoring/Review - A permission to voluntary fortify should require that it be monitored
and formally reviewed in terms of adoption by industry and the impact on the general intake
of the vitamin/mineral.
43
Attachment 2
GLOSSARY OF TERMS
Term
Ascertainment
Description
The method by which persons with a trait or disease are selected or
found by an investigator.
Bioavailability
A measure of the body’s ability to extract, absorb and metabolize a
nutrient.
Births
NTDs detected in live born infants in the first 28 days and stillbirths of
at least 20 weeks’ gestation and terminations that occur at gestational
ages of 20 weeks or more are collectively termed “births”. Spontaneous
abortions which occur prior to 20 weeks gestation are not included.
(Dietary) folic
acid supplement
Tablet containing folic acid.
Dietary folate
equivalents
(DFEs)
The bioavailability of folate ranges from 100% for synthetic folic acid to
50% for food folate. Consequently, the US Food and Drug Authority
now recommends that folate requirements be expressed in terms of
Dietary Folate Equivalents (DFEs). Estimates of DFEs in US fortified
foods are calculated by the following equation:
µg of DFE = µg of food folate + (1.7 x µg of synthetic folic acid)
Enriched
In the US, this term refers to the addition of a nutrient to a food that has
been lost during the course of food processing or during normal storage
and handling, up to the nutrient’s level in the food before the processing,
storage and handling. This process is commonly referred to as
‘restoration’ in the Australian and New Zealand context.
Folate
Folates are water-soluble vitamins. The term folate is used generically
to refer to the various forms of the vitamins, both naturally-occurring
and synthetic, and their active derivatives.
Folate, naturallyoccurring
Natural forms of folate are found in a wide variety of foods including
green leafy vegetables, cereals, fruits, grains, legumes, yeast extract, and
liver. This type of folate is referred to as naturally-occurring to
differentiate it from folic acid added to food in fortification.
Folic acid
Folic acid (pteroylmonoglutamic acid) is the most common form of
synthetic folate. It occurs rarely in foods but is the form most often used
in vitamin supplements and in fortified foods.
Fortified /
fortification
The addition of an essential nutrient to a food for the purpose of meeting
a health need in the population or specific population groups.
44
Health claim
Homocysteine
A message that makes a direct link between eating a certain food or food
component and the reduced risk of a specific disease.
A sulphur-containing amino acid. Plasma homocysteine concentration
increases when folate is deficient. Consequently it can be used as an
ancillary indicator of folate status.
Homocystinuria
The collective term for several inborn errors of metabolism of
homocysteine metabolism.
Incidence (of
neural tube
defects)
The number of new cases of neural tube defects that are reported in the
population of individuals at risk during a specified time period. It is
expressed as a rate where:
Incidence = number of cases of neural tube defects during a given period of time
total population at risk
NB: the term prevalence is often used interchangeably with incidence.
Both measures are affected by under-reporting of terminations
In utero
‘In the uterus’ or during pregnancy.
Mandatory
fortification
As specified in the Australia New Zealand Food Standards Code, food
manufacturers must add an essential nutrient (e.g. thiamin) to a specified
food at a specified rate.
Megaloblastic
anemia
An anemia in which the maturation of the precursors (megaloblasts) of
red blood corpuscles in the bone marrow is impaired; these precursor
cells enter the blood stream at a larger size (macrocytic) than normal
blood cells, yet they contain a full complement of haemoglobin.
Meta-analysis
Results from several studies, identified in a systematic review, that have
been combined and summarised quantitatively (NHMRC 2000).
Neural tube
defects
Neural tube defects (NTDs) are a family of congenital defects that arise
during the development of the brain and spinal cord in utero. NTDs
include three specific abnormalities in the development of the central
nervous system:
Spina bifida is a condition whereby incomplete closure of the neural
tube results in the spinal cord being exposed or protruding through a gap
in the spine. Over 80% of infants born with spina bifida survive into
adulthood, but can develop leg paralysis or weakness, lack of bowel or
bladder control and excess fluid around the brain (hydrocephalus).
Anencephaly is characterised by a failure of the anterior neural tube to
close, resulting in the total or partial absence of the cranial vault and
brain tissue. Anencephaly is incompatible with life; affected infants are
usually stillborn or die shortly after birth.
Encephalocoele is characterised by the meninges and/or brain tissue
extruding through a defect in the skull.
45
Periconceptional
period
Around conception; includes the 4-week period before, and 12-week
period after conception. It is the recommended period of time during
which a woman of childbearing age should increase her folate intake to
minimise the risk of NTDs occurring with a pregnancy.
Randomised
controlled trial
An experimental comparison study in which participants are allocated to
treatment/intervention or control/placebo using a random mechanism.
Participants have an equal chance of being allocated to an intervention
or control group and therefore allocation bias is eliminated (NHMRC
2000).
Recommended
Dietary Intake
(RDI)
A RDI is the intake of an essential nutrient, whereby 95% of the
Australian and New Zealand populations meet their requirement for the
nutrient.
Red blood cell
(RBC) folate
Since folate is taken up only by the developing erythrocyte in the bone
marrow and not by the circulating mature red blood cell during its 120day lifespan, red cell folate concentration is a better indicator of longterm status than serum or plasma folate.
Target population
Women of childbearing age.
Terminations
Terminations include induced abortions occurring before 20 weeks’
gestation, for example as a result of detection of a NTD by prenatal
screening, either by diagnostic ultrasound and/or maternal serum
screening.
Voluntary
fortification
As specified in the Australia New Zealand Food Standards Code, food
manufacturers have the choice of adding an essential nutrient (e.g.
folate) to a specified food up to specified rate.
Women of childbearing age
Women aged 15–49 years.
Adapted from (Abraham and Webb 2001).
46
Attachment 3
GLOSSARY OF ACRONYMS
ANZFA
Australia New Zealand Food Authority
Codex
Codex Alimentarius Commission
CDC
Centers for Disease Control
COMA
Committee on Medical Aspects of Food and Nutrition
CVD
Cardiovascular disease
DFEs
Dietary Folate Equivalents
EC
European Commission
EU
European Union
FAO
Food and Agriculture Organization
FSA
Food Standards Agency
FSANZ
Food Standards Australia New Zealand
LOAEL
Lowest-Observed-Adverse-Effect Level
Ministerial Council
Australia and New Zealand Food Regulation Ministerial Council
NHANES
National Health and Nutrition Examination Surveys (US)
NDNS
National Diet and Nutrition Survey (UK)
NHMRC
National Health and Medical Research Council
NNS
National Nutrition Survey
NOAEL
No-Observed-Adverse-Effect Level
NTDs
Neural Tube Defects
NZFSA
New Zealand Food Safety Authority
NZMoH
New Zealand Ministry of Health
RBC
Red Blood Cell
RDI
Recommended Dietary Intake
SACN
Scientific Advisory Committee on Nutrition
The Code
Australia New Zealand Food Standards Code
TUIL
Tolerable Upper Intake Levels
UK
United Kingdom
USFDA
United States Food and Drug Administration
USA
United States of America
WHO
World Health Organization
WTO
World Trade Organization
47
Attachment 4
SUMMARY OF STRATEGIES USED IN AUSTRALIA AND
NEW ZEALAND TO INCREASE FOLATE AND
REDUCE INCIDENCE OF NTDS
This Attachment summarises the four primary prevention strategies that have been employed
in Australia and New Zealand to increase total folate intakes and reduce the rates of NTDs.
The reported advantages and disadvantages of the respective strategies are described in
addition to the impact of these. Further detail on the impact of particular strategies is
provided at Attachment 5.
1
Overview of folate campaigns implemented in Australia and New Zealand
In Australia, between 1994 and 1999 three health promotion campaigns were implemented
nationally in addition to State-based campaigns in WA, SA, NSW, Victoria and Tasmania.
There has been no publicly funded awareness campaigns regarding folate and women of
child-bearing age in New Zealand (NZMoH 2003). The Australian campaigns have generally
targeted women of child-bearing age and health professionals. In general, the main
objectives of the campaigns have been to: increase awareness of the association between
folate and NTDs; promote dietary sources of naturally-occurring folate and folic acid
supplements; and increase folate intake. It should be noted that most of the campaigns
promoted both increased consumption of folate rich foods and folic acid supplementation.
SUMMARY OF NATIONAL FOLATE HEALTH PROMOTION CAMPAIGNS IN
AUSTRALIA TO 2001
Organisation
Name and description of
program
Folate Initiative
Folate – make it part of your
day’
distribution of education
material & 35,000 free starter
packs of folic acid tablets
Date
Kellogg/Northcott
Society folate education
program
Folate education promoted
through television, print and
on-pack messages
Australia New Zealand
Food Authority
(ANZFA)
Folate-NTD health claim
Pilot
Health claim on food labels,
ANZFA approved logo,
promotional material
Pharmacy Guild of
Australia in conjunction
with Commonwealth
Department of Health
and Aged Care
Adapted from (Abraham and Webb 2001).
48
Target
group
Women
planning a
pregnancy
Aim/ objective/
main message
To promote folic
acid supplements
and folate rich
foods (naturallyoccurring and
fortified)
July through
November
1998
Women in
child-bearing
years
1998
Women
considering
becoming
pregnant;
food industry
To promote the
importance of folate
for women in childbearing years; to
promote foods with
added folic acid
To trial the use of
health claim
management
system,
To assess the
impact of a folateNTD health claim
Launched
February 1996
SUMMARY OF STATE FOLATE HEALTH PROMOTION CAMPAIGNS IN AUSTRALIA
Jurisdiction
Health Department of WA
(coordinated by Institute of
Child Health Research)
Name and description of program
Folate Program Phase 1: Folate and
neural tube defects prevention
project
education materials provided to
health professionals
Date
July 1992December 1994
Target group
Women of child-bearing age
(20-40 yrs); health
professionals
South Australia Department
of Human Services
“Folate before pregnancy”
information packs provided to
health professionals
How diet can prevent birth defects
pamphlet
October 1994August 1995
Health professionals; women
of reproductive age
1995
Folate Program Phase 2: Folate
awareness campaign
Victorian Folate Campaign:
consumer and professional
education strategies to inform of
benefits of folate in preventing
NTDs; pre-pregnancy checklist
Launched
November 1996
launched 1999
GP and health profession training
unknown
Women from multicultural
backgrounds planning a
pregnancy
Women of child-bearing age
(18-44 yrs)
Women of child-bearing age
(15-45 yrs); health
professionals; women with
previous NTD affected
pregnancy; teenagers; Koori
women and women from
multicultural backgrounds
Family Child Youth Health
nurses
GPs
NSW Health
Health Department of WA
Victorian Department of
Human Services in
conjunction with Family
Planning Victoria
Tasmanian Department of
Health and Human Services
Adapted from (Abraham and Webb 2001; Chan et al, 2001)
49
Aim/ objective/ main message
To increase awareness amongst health
professionals of association between
folate and NTDs; To increase women’s
folate intake through diet and
supplements (0.5 mg) to help prevent
NTDs
To promote dietary sources of folate and
folic acid supplements during the periconceptional period
To promote folic acid supplements (0.5
mg) and increase naturally-occurring
folate during the peri-conceptional period
Similar to 1992-1994, with supplements
promoted more extensively than diet
To promote consumption of food fortified
with folic acid plus foods high in
naturally-occurring folate plus
supplements
To raise awareness of folate-NTD link;
to promote good food sources of folate.
2.
Promotion of diets high in naturally-occurring folate
Reported advantages and disadvantages of promoting diets high in naturally-occurring folate
The difficulty of achieving the required folate in pregnancy through dietary modification has
been widely acknowledged. Skeaff and Mann (1998) state that the folate-NTD relationship is
the first well documented public health situation where the amount of nutrient required is
more than that which can be practically eaten by choosing foods wisely (Skeaff and Mann
1998).
The NHMRC Expert Panel on Folate Fortification noted that the likelihood of achieving a
reduction in NTDs through nutrition education alone was limited, and that the ability of
nutrition education programs to reach those at most need was questionable (NHMRC 1995).
Likewise the New Zealand Ministry of Health stated that promotion of diets high in naturallyoccurring folate is not recommended on its own as a policy option to increase folate (NZMoH
2003).
Despite these reservations, it has been suggested that the promotion of diets high in naturallyoccurring folate has the advantage of:




preserving consumer choice;
being a preferred option of a proportion of the target group;
conferring a low risk of adverse health effects, both in the target population and other
population subgroups; and
providing wider health benefits from nutrient dense foods such as vegetables and fruit
(NZMoH 2003).
Impact of promoting diets high in naturally-occurring folate
It is difficult to identify the impact of campaigns specifically targeting increased consumption
of folate rich foods. This is because most of the Australian campaigns have targeted both
increased consumption of folate rich foods and folic acid supplementation. However, it is
generally reported that public health campaigns specifically targeted at increasing only
naturally-occurring folate in the diet have not produced significant dietary modification in the
population (Bower et al, 2002) and have not been able to sufficiently increase RBC folate to
the levels required to confer a protective effect against NTDs Brown et al 1997 cited in (Chan
et al, 2001).
Reasons for this may include the following:

Obtaining adequate folate from food sources in pregnancy is difficult, because
commonly eaten foods, such as wholegrain cereals, fruit and vegetables, are only low to
moderate sources of folate, and some excellent sources of folate such as liver are not
recommended during pregnancy. In addition, morning sickness may limit the amount
of food women are able to eat early in pregnancy; and

Women who are not planning a pregnancy are unlikely to consume adequate amounts
of folate during the peri-conceptional period. Data from National Nutrition Surveys
indicates that women’s mean 24 hour intake of folate from food is well below the
recommended intake during pregnancy of 400 g per day.
50
The evaluation of health promotion campaigns promoting increased naturally-occurring
folate is shown at Attachment 5.
3.
Promotion of folic acid supplementation during the peri-conceptional period
Reported advantages and disadvantages of promoting folic acid supplementation
Health promotion initiatives to increase the use of folic acid supplements have been
implemented in a number of countries as a means to increase folic acid intake and reduce the
incidence of NTDs. Both Australia and New Zealand have folic acid supplement policies.
The promotion of supplements offers a number of advantages (NZMoH 2003; Skeaff et al,
2003). These include:




being able to deliver the recommended amount of folic acid to the target population (in
one tablet);
causing no increase in the exposure and potential adverse effects in other population
subgroups;
synthetic folic acid has a greater bioavailability than naturally-occurring folate; and
preservation of consumer choice.
Supplementation is of most benefit to women planning a pregnancy but to be effective
supplements of sufficient dosage need to be taken consistently during the peri-conceptional
period.
Supplementation has not been recommended as a sole strategy to reduce the incidence of
NTDs due to its disadvantages, which include the following:

approximately 40-50% of pregnancies in Australia and New Zealand are unplanned,
and the neural tube develops before many women know they are pregnant (Schader and
Corwin 1999 cited in (NZMoH 2003; The Alan Guttmacher Institute 1999);

the policy relies upon the knowledge, motivation and compliance of women;

cost of supplements may be a barrier for some population groups;

folic acid supplementation may be affected by socioeconomic factors, such that women
of higher socio-economic status are more likely to take the recommended folic acid
supplements (de Walle et al, 1999);

folic acid supplementation may also be affected by cultural factors, such that women of
Culturally and Linguistically Diverse backgrounds have lower uptake levels of folic
acid supplement use (Watson and MacDonald 1999 cited in (NZMoH 2003); and

use of folic acid supplements appears to be affected by age, with women aged 15 to 24
years less likely to use supplements than women over 25 years of age (ABS 1995 cited
in (Abraham and Webb 2001).
51
Impact of promotion of folic acid supplementation
Only a small proportion of women take folic acid supplements, as shown below.
SUPPLEMENT USE BY FEMALES IN AUSTRALIA AND NEW ZEALAND
Survey
Australia
National Nutrition
Survey
(ABS 1995 in
(Abraham and Webb
2001)
Population Survey
Monitor
(ABS 1995 in Abraham
and Webb, 2001)
Folic acid use
Population group
Proportion of
sample
reporting
taking
supplements
Median dose
of folic acid
supplement
Consumed a folic acid
supplement on the day
prior to survey
Females
(15-49 years)
2%
unknown
Took supplements
containing folic acid on
the day prior to survey
Females
(18-44 years)
10.5%
200 g*
Consumed folic acid
dietary supplements in
last year
Females
15-24 years
25-44 years
0%
2%
New Zealand
National Nutrition
Survey 1997
(Russell et al, 1999)
unknown
Adapted from (Abraham and Webb 2001; NZMoH 2003; Russell et al, 1999)
* dosage on containers of supplements checked by interviewers
However, there is some evidence that this proportion is increased following health promotion
campaigns encouraging folic acid supplementation (refer Table below). For example, the
wholesale sales of 0.5 mg folic acid supplements increased throughout Australia in the period
1995-1998. The most marked increases were in Western Australia, where a three-fold
increase in sales of 0.5 mg folic acid supplements was reported following folate health
promotion campaign (Bower et al 1997). Chan et al (Chan et al, 2001) report that the sales of
0.5 mg folic acid supplements doubled after the South Australian “Folate before pregnancy”
campaign, and by a further 10% the following year.
USE OF FOLIC ACID SUPPLEMENTS PERICONCEPTIONALLY IN AUSTRALIA
AND NEW ZEALAND
Survey
Percentage of women surveyed
aware of importance of folate
in the peri-conceptional period
66%
WA Department of Health
Folate Campaign evaluation
(Bower et al 2002)
Christchurch
63%
(Schader and Corwin 1999 in
NZMoH 2003)
Dunedin
(Ferguson et al 2000)
Adapted from (Abraham and Webb 2001; NZMoH 2003)
*Women who had been pregnant in the last 5 years
52
Percentage of women taking
folic acid supplements during
the peri-conceptional period
28%*
17%
11% *
4.
Voluntary fortification
Extent of folic acid fortification in Australia and New Zealand
Folic acid was first permitted to be added to certain foods in 1995 in Australia and in 1996 in
New Zealand. Since then there has been no ongoing monitoring or surveillance of the extent
of folic acid fortification in either country.
In the Australian context, the Australian Food and Nutrition Monitoring Unit published an
Interim evaluation of the voluntary folate fortification policy in 2001 (Abraham and Webb
2001). This report used studies 8, and the number and variety of fortified foods available on
supermarket shelves to assess the extent to which voluntary fortification had been
implemented. The evaluation indicated that the introduction of folate-fortified products onto
the market had been slow, and that few food products had been fortified since 1995
(Abraham and Webb 2001).
In Australia, by June 1999, there were 104 folate-fortified products available in Australia.
The majority of these foods were breads (38) followed by breakfast cereals (34), fruit and
vegetables juices (12), meal replacements (6), breakfast bars (4), supplementary foods (4), as
well as a type of flour, pasta, yeast extract and a soy product. This data may have overestimated the number of fortified products available, as it was based on manufacturers reports
of intention to fortify specific products (Abraham and Webb 2001). Market share was also
used to provide an indication of the impact of voluntary fortification with folic acid. The
highest market share of a folate-fortified food was for breakfast cereal at 49%, however
breakfast cereals were estimated to be eaten by only 34% of the target group (Abraham and
Webb 2001; ANZFA 2000).
There has also been limited uptake of voluntary folic acid fortification in New Zealand. At
the end of 2002, 81 foods were estimated9 to be fortified with folic acid. More than half of
these were breakfast cereals (44) which are consumed by an estimated 27% of women of
child-bearing age (Newton et al cited in (NZMoH 2003). Other foods fortified with folic acid
were breads, food drinks and a vegetable extract (NZMoH 2003).
Reported advantages and disadvantages of voluntary fortification
Voluntary fortification of food products with folic acid is reported to have the following
advantages:


if added to a food that is a staple for a high proportion of the target group by the
majority of producers, the benefits could be available across the population, regardless
of socio-economic factors or age; and
it preserves consumer choice, as fortification is unlikely to be implemented universally
by the food industry.
The reported disadvantages of voluntary folic acid fortification include the following:
8
Information from the 1995-8 ANZFA Folate Monitoring Surveys and the ANZFA Folate Health Claim Pilot
surveys was used in the evaluation of voluntary fortification.
9
Based on the New Zealand Manufactured Foods Database, which relies on voluntary participation and does not
include non-packaged foods.
53




it requires high uptake by the food industry to impact on the folate intakes of the target
group. There are indications that some sections of the food industry may be reluctant to
fortify foods on a voluntary basis (NZMoH 2003);
sustainability is affected by consumer demand for folic acid fortified foods, and thus
there may not be certainty of supply;
it is difficult to monitor fortification levels, and the number and type of foods that are
fortified if the market is very dynamic; and
high levels of folic acid may be consumed by the general population or non target
groups (NZMoH 2003).
Impact of voluntary fortification on intake of folate
Folate intake prior to voluntary fortification in Australia
The 1995 Australian National Nutrition Survey (NNS) provides base-line data on food
consumption shortly before the introduction of voluntary food fortification. For the 3,784
women aged 15-49 years surveyed:




the mean 24-hour intake of folate from all foods was 229 g per day, with mean intakes
lowest for the 15-19 year old age group (219 g per day) and highest for the 44-49 year
old age group (244 g per day) (Abraham and Webb 2001);
almost one third (32.8%) consumed less than the RDI for non-pregnant females (200 g
per day), with females aged 15-19 least likely to meet that RDI (Abraham and Webb
2001);
folate intakes were significantly reduced in those of low socio-economic status; where
the mean 24-hour folate consumption was 214 g for women (Giskes et al, 2002); and
cereals and cereal products (including bread and breakfast cereals) and vegetables
products and vegetable dishes accounted for more than 45% of total folate intake of
women of child-bearing age (Abraham and Webb 2001).
Impact of voluntary fortification on folate intakes in Australia
Voluntary fortification of the food supply with folic acid commenced in Australia in 1996.
Estimates of the folate intakes for women aged 15-49 years as of November 1998 based on
food consumption recorded in the 1995 NNS showed that the mean dietary folate intakes had
increased by 11% to 254 g per day. When expressed as DFEs to account for the greater
bioavailability of folic acid, dietary modelling estimated the mean folate intake had increased
19% to 272 g per day post fortification (Abraham and Webb 2001).
The NHMRC Expert Panel on Folate Fortification (NHMRC 1995) set a level of 70% of
women in the target population consuming more than 400 g folate per day as criteria by
which to judge the effectiveness of voluntary fortification. The Table below shows that at
November 1998, the median folate intake of women aged 15-44 years was 235 g, far short
of the target set by the NHMRC Expert Panel (Abraham and Webb 2001). More recent data
on the current range of foods fortified with folic acid or the resulting folate intakes is not
available.
54
MEDIAN DIETARY FOLATE INTAKES OF WOMEN (15-45 YEARS) IN
AUSTRALIA BEFORE AND AFTER VOLUNTARY FOLIC ACID
FORTIFICATION (NOV 1998)
Age groups of women
Median folate intake pre
(years)
fortification 1 (1995) (g/day)
15-19
195
20-24
216
25-29
219
30-34
206
35-39
210
40-44
217
45-49
221
15-49
213
Adapted from (Abraham and Webb 2001)
1
derived from unweighted survey data
Median folate intake
November 1998 (g/day)
229
240
239
235
227
231
247
235
Folate intake prior to voluntary fortification in New Zealand
The most recent NNS in New Zealand was conducted in 1997, and included a sample of 1375
women aged 15-65+. While voluntary fortification was permitted as of January 1996, the
extent to which folic acid fortified foods were included in this survey is unclear.
MEAN AND PERCENTILE FOLATE INTAKES FOR WOMEN (15-65+ YEARS) IN
THE NEW ZEALAND 1997 NNS
Age group in
years
Usual folate intakes (g per day)
mean
10th
50th
90th
15-18
19-24
25-44
45-64
65+
Total
203
202
220
228
227
220
292
290
307
313
313
306
125
125
141
151
152
142
194
195
213
222
217
212
inadequate
intake (%) 1
22.2
21.2
13.4
9.8
9.2
13.l
Adapted from (Russell et al, 1999)
1
adequacy evaluated by probability analysis, which compares nutrient intakes with the mean requirement distribution and calculates the
likelihood that a particular nutrient would fail to meet this. The UK Dietary Reference Values were used in this analysis (EAR of 150
g/day).
This survey also indicates:



younger women had lower intakes, with a median intake of about 195 g for females
aged 15-24 years, compared to 213 g per day for women aged 25-44 years;
Maori women had slightly lower folate intakes than the non-Maori population, at 198
g; and
the main sources of folate in the diet of New Zealanders were vegetables (18%), bread
(13%) and breakfast cereals (11%) (Russell et al, 1999).
Impact of voluntary fortification on folate intakes (in New Zealand)
To estimate the change in folic acid intake after voluntary fortification came into effect,
dietary modelling was conducted by the University of Otago based on the NNS 1997. The
modelling estimated a median increase of 17 g folic acid per day (7.7%) for women of
child-bearing age by August 2000.
55
Less than 4% of the women of child-bearing age were estimated to be achieving intakes of
400g per day, and over 60% had not received any additional folic acid as a result of
voluntary fortification (Newton et al 2001 cited in (NZMoH 2003).
The University of Otago in New Zealand has established base-line folate data for women of
child-bearing age as well as adolescent boys, who are accepted as being of greatest risk of
over-consumption of folic acid due to their high consumption of fortified foods (Ferguson et
al, 2000). In 1999, median intakes of dietary folate per day in the Dunedin study population
were 216 g for women (aged 18 - 45 years) and 226 g for adolescent boys (aged 14 – 19
years) (Ferguson et al, 2000)
5.
Folate-NTDs health claim pilot
Description of the Folate-NTD Health Claim Pilot
In 1998, ANZFA (now FSANZ) approved a folate-NTD health claim pilot aimed at obtaining
a clearer, more practical understanding of the regulatory, social and public health impacts of
health claims. The pilot’s main objectives were to trial the proposed management framework
for health claims, and to promote public health through communication of the link between
increased maternal folate consumption and a reduction in the incidence of NTDs.
The health claim was approved for folate-rich foods, both fortified and non-fortified, that met
the specified nutrition criteria. The health claim statement recommended by ANZFA was
‘This food contains folate. A diet rich in folate may help prevent birth defects such as spina
bifida’. A logo with the text ‘ANZFA endorsed folate health claim’ was developed, along
with a range of promotional materials, which were distributed to a variety of organisations 10.
The majority of the pilot education and monitoring activities were undertaken from
November 1998 to May 1999 (ANZFA 2000).
Implementation by industry
The process evaluation of the pilot showed there was a slow uptake of the folate health claim
on products and associated advertising. Uptake was particularly limited in New Zealand.
There were also differences in uptake between food sectors and companies in both countries
(ANZFA 2000).
While food products permitted to carry the folate-NTD health claim are listed in Standard
1.1A2 of the Code (see Section 4.1.2), there is no mechanism in place to determine which of
the listed foods are carrying the folate-NTD health claim at any point in time.
In Australia, the evaluation of the pilot indicated that the number of foods labelled with the
health claim was considerably less than the number of foods approved to carry the claim. By
January 2000, ANZFA had approved the claim for use on more than 120 products, but at the
end of 1999, the health claim was present on the labels of 15 breakfast cereals and 16 fruit
and vegetable products (ANZFA 2000).
10
Folate resource materials included a folate fact sheet, poster, and leaflets for doctors and pharmacists, and
were provided to organisations including Nutrition Australia, Spina Bifida Association, Royal Australian
College of General Practitioners, Family Planning Australia and pharmacies (Abraham and Webb 2001).
56
Reasons for this are unclear, but may include the lack of broad appeal of the folate health
claim expressed by the food industry (Abraham and Webb 2001; ANZFA 2000). In New
Zealand, almost 25% of fortified foods did not meet the specified nutrition criteria, or had not
sought permission to use the folate-NTD health claim (Abraham and Webb 2001).
Impact of the health claim pilot
The outcome evaluation of the pilot was published by ANZFA in 2000 in a report entitled
evaluating the Folate-Neural Tube Defect Health Claim Pilot. This report assessed the sociocultural and other impacts of the pilot through a series of Australian surveys conducted before
1998 and after the pilot’s implementation in 199911. Factors investigated included changes in
consumer knowledge and attitudes regarding the importance of folate, food sources of folate,
and purchasing behaviour and dietary changes resulting from folate information (ANZFA
2000).
The outcome evaluation of the folate-NTD health claim found that:




the number of women who had seen the folate-NTD health claim increased from 11%
in 1998 to 29% in 1999;
more women were able to specify particular foods carrying the health claim (9% in
1998 compared to 17% in 1999);
about 25% of the women commented that folate information had encouraged them to
eat foods containing folate; and
there was no change in sales of products carrying the folate-NTD health claim for the
period of 1998-1999 (ANZFA 2000).
11
Surveys used to evaluate the Folate Health Claim Pilot included CSIRO National Nutrition Survey 1998-99;
South Australian Health Monitor 1998-99; Eat Well Tasmania Survey 1998-99; and Australian Supermarket
Institute Consumer Monitor Survey 1998-99 (ANZFA 2000).
57
Attachment 5
IMPACT OF FOLATE PROMOTION CAMPAIGNS
This Attachment provides further detail on the impact of individual folate health promotion campaigns aimed at women of child-bearing age. Data grouped in
terms: of awareness and knowledge of folate-NTD association; knowledge of recommended timing, dose and sources of folate; and intention to increase
folate intake and behavioural changes. There has been minimal folate promotion campaigns conducted in New Zealand, however data related to the factors
outlines above has been included in the following Tables.
AWARENESS AND KNOWLEDGE OF FOLATE-NTD ASSOCIATION FROM AUSTRALIAN AND NEW ZEALAND SURVEYS
Survey
Awareness / knowledge determined
% preintervention
% postintervention
Awareness of the role of folate in pregnancy in women (18-44 yrs)
Women of child-bearing age who had heard of folate and knew of its link with birth defects.
21 (July 1998)
40 (1998)
(25-44%)13
29 (1998)
44 (May 1999)
46 (1999)
(34-53%)23
23 (1999)
8.2 (1992)
67 (1995)
15 (1992)
15 (1994)
70 (1995)
60.5 (1998)
40 (1995)
12.5 (1996)
44 (1997)
30 (2000)
Australia, national
Kelloggs Newspoll (Williams et al., 2001)
ANZFA folate –NTD health claim 16 17 (ANZFA
2000)
ANZFA folate –NTD health claim (ANZFA 2000)
Women who had heard of folate but did not know why it was important
Australian States
Western Australia (CIE, 2004)
Western Australia (CIE, 2004)
South Australia (Chan et al, 2001(Chan et al, 2001).
Western Australia (in Abraham and Webb, 2001)
Victoria (Watson et al., 2001).
Women of child-bearing age who had knowledge of the importance of folate in the periconceptional period
GPs routinely advising women considering pregnancy about the importance of folate
Women of child-bearing age who had knowledge of the importance of folate in the periconceptional period
Awareness of association between folate intake and spina bifida; Perth women (18-44 yrs) 14
Awareness of folate and NTDs in women of child-bearing age
New Zealand
Bourn and Newton 1998
Aware of relationship between folate and NTDs in women (25-44 years)
16
56
Surveys used to evaluate the Folate Health Claim Pilot included CSIRO National Nutrition Survey 1998-99; South Australian Health Monitor 1998-99; Eat Well Tasmania
Survey 1998-99; and Australian Supermarket Institute Consumer Monitor Survey 1998-99 (ANZFA 2000).
12
analysis excluded women who did not intend to become pregnant or could not become pregnant
58
Dunedin (Ferguson et al 2000)
Christchurch (Schader and Corwin 1999)
Women interviewed that knew folate helped to prevent birth defects such as spina bifida
Women that knew folic acid reduces the risk of spina bifida
Adapted from (Abraham and Webb 2001; NZMoH 2003)
59
38
63%
KNOWLEDGE OF RECOMMENDED TIMING, DOSE AND SOURCES OF FOLATE IN AUSTRALIAN AND NEW ZEALAND
SURVEYS
Survey
Awareness / knowledge determined
Recommended time and dose to increase folate to help prevent spina bifida
WA Institute for Child
When is it important for women planning a
Health Research (ICHR)
pregnancy to increase folate to reduce their risk of
spina bifida (prompted)
WA Department of Health
When is it important for women planning a
evaluation of folate program pregnancy to increase folate to reduce their risk of
spina bifida (chosen from a list)
Kelloggs Newspoll
Women having heard the recommendation that
folate be taken 6 weeks before becoming pregnant to
reduce the risk of spina bifida
ICHR (WA)
Women who chose the recommended dose of folic
acid (from a list)
How to increase folate consumption
ANZFA 2000
Women with knowledge of which foods contain
folate
-green leafy vegetables
-cereals
Kelloggs Newspoll
Women unable to name a food high in folate
ANZFA 2000
Women able to name supplements as a source of
folate
Dunedin (Ferguson et al
Women able to name foods as good sources of folate
2000)
- cereals and breads
Adapted from (Abraham and Webb 2001; NZMoH 2003)
Percentage preintervention
Percentage postintervention
67% in March 1995
38% in May 1995
28% in July 1997
36% in 1998
45% in Nov 1998
67% in May 1999
19% in March 1995
40% in 1998
26% in 1998
14% in July 1998
1.4% in 1998
52% in 1999
49% in 1999
17% in May 1999
4% in 1999
70%
(not an evaluation of an
intervention)
60
INTENTION TO INCREASE FOLATE INTAKE AND BEHAVIOUR CHANGES MEASURED IN AUSTRALIAN SURVEYS
Survey
Awareness / knowledge determined
Intention to increase folate intake
WA Department of Health
Women (18-44 yrs) who said they would increase
the amount of folate in their diet if planning a
pregnancy
-by folate-rich foods
-by supplements
WA ICHR
Women who would increase the amount of folate in
their diet if they were planning a pregnancy
Behavioural change
SA (Chan et al, 2001)
Women who did not increase their folate intake as
they thought they were already consuming enough
ANZFA
Women indicating folate information had
encouraged them to eat foods containing folate
CSIRO National Diet Survey
Women who changed their folate intake (in any
way) as a result of receiving information about
folate – Yes
by:
taking a supplement
eating more fruit & vegetables
eating more folate added foods
Adapted from (Abraham and Webb 2001)
61
Percentage pre-intervention
Percentage postintervention
62 % in 1992
64% in 1997
55%
39%
62%
57%
84% in March 1995
14.5%
22% in 1998
29% in 1999
17%
29% in Nov 1998
29%
19%
28% in Nov 1999
24%
14%
Attachment 6
INTERNATIONAL CASE STUDIES OF MANDATORY
FORTIFICATION WITH FOLIC ACID
1.
Countries with mandatory folic acid fortification
Country
Year
mandatory folic
acid
fortification
introduced
Foods fortified with folic acid
Level of
fortification
mg/ kg
Africa
Malawi
South Africa
2002
Zambia
Middle East
Saudi Arabia
North America
Canada
Maize flour
Maize meal
wheat: flour white, brown
bread: white, brown
Enriched maize meal
2.06
1.89-1.94
1.36, 1.24
0.74
2.4
2000
Enriched wheat, enriched treated flour
1.5
November
199815
flour (white, enriched, enriched white);
enriched bread; enriched pasta; enriched
pre-cooked rice
Enriched cereal grain products including:
enriched wheat flour; enriched bread,
rolls & buns; enriched corn grits & corn
meal; enriched farina; enriched rice;
enriched macaroni products;
1.5
2002
1996
1997
1996
2002
2003
1996
2002
2002
2002
1998
2002
2002
1998
wheat flour
wheat flour
wheat flour
wheat flour
wheat flour, corn flour, rice, milk
wheat flour
wheat flour
wheat flour, corn flour
wheat flour, corn flour
wheat flour, corn flour
wheat flour, corn flour
wheat flour, corn flour
wheat flour, corn flour
wheat flour
2.2
1.5
2.0-2.4
1.54
1.8, 1.3, 1.8,1.6
1.8
0.6
1.8, 1.3
1.8, 1.3
1.8, 1.3
0.4-0.8, 0.4-0.8
1.8, 1.3
1.8, 1.3
3.0
unknown
Enriched wheat flour
2.0
USA
South America
Argentina,
Bolivia,
Chile,
Colombia,
Costa Rica,
the Dominican Republic,
Ecuador,
El Salvador, Guatemala,
Honduras,
Mexico,
Nicaragua,
Panama,
Paraguay.
South East Asia
Indonesia
Phased in
between 1996
and January
1998
1.4
Adapted from: (Canadian Government 1998; Roche Vitamins Europe 2003; USFDA 1996b)
15
Canada introduced voluntary fortification regulations in December 1996, and phased into mandatory
fortification by November 1999 (Canadian Government 1998).
62
2.
Impact of mandatory fortification in the United States
Background
In December 1996, the US Food and Drug Administration reviewed its voluntary regulations
for folic acid fortification and required that enriched16 cereal grains products be fortified on a
mandatory basis at 140 g folic acid per 100 g cereal grain product by January 1998 (USFDA
1996b). In addition, ready to eat breakfast cereals were permitted to be voluntarily fortified
with folic acid up to 400 g per serve.
This decision was based on modelling and public consultation on the proposal to amend the
standards of identity for enriched cereal grain products to require folic acid fortification.
Modelling was undertaken for cereal grains, dairy products and fruit juices, at levels of 70,
140 and 350 g per 100 g, using the 1987-8 national food consumption data and the safe
upper limit of 1 mg per day as recommended by the CDC. The amount of folic acid added to
enriched cereal grains was chosen so that approximately 50% of all reproductive-age women
would receive a total of 400 g of folate from all sources (CDC 1992) and increase the
typical folate intake by approximately 100 g per day (Jacques et al., 1999). The selected
fortification level of 140 g was considered to be a compromise between safety and
prevention of NTDs (CDC 1992; Daly et al, 1997). This amount of fortification was
estimated to reduce the incidence of NTDs by up to 41%, (Daly et al, 1997; Wald et al,
2001).
The cereal foods enriched with folic acid included enriched: wheat flour; bread, rolls and
buns; corn grits and cornmeal; farina; rice and macaroni products. These food vehicles were
chosen on the basis of being staple food products for most of the US population (including
90% of the target group), and a long history of being successful vehicles for fortification
(USFDA 1996a). Unenriched cereal-grain products are not fortified with folic acid to allow
for consumer choice (USFDA 1996b), although these constitute a minority of the entire
available product.
Implementation by industry
Mandatory fortification of folic acid in cereal grains commenced in 1996 and was basically
complete by mid 1997(Jacques et al, 1999). As a result, it was estimated that the folate
content of more than one third of available foods had increased (Lewis et al 1999 cited in
(NZMoH 2003).
It appears that the actual folate content of fortified foods was greater than had been assumed
in predicting folate intakes under mandatory fortification. Initial studies comparing the
analysed folate content of enriched cereal-grain products to the levels required by Federal
regulations showed that mandatorily fortified foods contained up to 160-175% of their
predicted folate content (Choumenkovitch et al, 2002; Rader et al, 2000). Similar results
were found with fortified breakfast cereals (Whittaker et al, 2001b).
16
In the US, enriched refers to the addition of a nutrient to a food that has been lost during the course of food
processing or during normal storage and handling, up to the nutrient’s level in the food before the processing,
storage and handling.
63
The high levels of total folate were thought to be due to overages used by manufacturers to
ensure food products contained at least the amount of nutrient specified on the label
throughout shelf life, as well as higher than expected levels of naturally-occurring folate
and/or problems with the analysis method used (Rader et al, 2000; Whittaker et al, 2001a).
Public health impact of mandatory fortification
Impact on dietary intake
Overall studies found an average increase of almost 200 g of folate per day across all
sectors of the community, including the target group of reproductive-age women
(Choumenkovitch et al, 2002; Quinlivan and Gregory 2003).
The Framingham Offspring cohort study showed that among non-supplement users in the
cohort, the prevalence of older individuals who consumed less than the recommended daily
intake of folate (defined as 320 g DFE per day) decreased from 48.6% prior to the FDAmandated folic acid fortification to 7.0% post-mandatory fortification. Consumption of
greater than 1 mg folic acid occurred only in individuals who regularly consumed
supplements containing folic acid (frequency of use was not defined). The proportion of
individuals who exceeded this limit rose from 1.3% prior to fortification to 11.3% after
mandatory fortification (Choumenkovitch et al, 2002).
Impact on folate status
The US CDC compared folate status data from the National Health and Nutrition
Examination Surveys: one conducted prior to any fortification of the food supply, between
1988 and 1994 (NHANES III); the other after mandatory fortification in 1999 (NHANES
1999).
The mean serum folate concentration in participating women aged 15-44 years increased by
157%, from 14.3 nmol/L during NHANES III to 36.7 nmol/L in NHANES 1999. For nonsupplement users, the mean serum folate concentration increased by 167%, from 10.7 nmol/L
to 28.6 nmol/L over this time (CDC 2000).
In the above group of subjects, mean red blood cell folate concentration, indicating long-term
folate status, increased from 410.1 nmol/L to 713.8 nmol/L, an average increase of 74% (data
not adjusted for supplement use). In addition, women with the lowest initial folate values
showed the greatest improvement in folate status (CDC 2000).
Looking at a wider sector of the US population, serum folate data from a US clinical
laboratory were analysed from 1994 to 1998. The majority of men and women were aged
between 12 and 70. Median serum folate values increased by 50% from 28.6 nmol/L in 1994
(prior to fortification) to 42.4 nmol/L in 1998 (post-mandatory fortification) (Lawrence et al,
1999). These values were not corrected for vitamin supplement intake.
Among non-supplement users of the Framingham Offspring cohort, the mean serum folate
concentrations increased from 10.4 nmol/L (pre-mandatory fortification) to 22.7 nmol/L
(post-mandatory fortification), an increase of 117% in the study population.
64
The mandatory folic acid fortification program has virtually eliminated the presence of low
folate concentrations (defined as serum folate levels below 7 nmol/L) from the cohort of
older adults, with a decrease from 22% to 1.7% of the cohort exhibiting low folate status
since mandatory fortification (Jacques et al, 1999).
Overall, the mandatory fortification of the food supply with folic acid has led to a significant
positive increase of serum and red blood cell folate levels for all sectors of the US population,
including the target group.
Impact on NTD rate
As detailed in the previous section, an average decrease of 27% in prenatally ascertained
NTD-affected pregnancies (true incidence) was found after the introduction of mandatory
folate fortification, which CDC attributes to the introduction of mandatory folate fortification.
Overall, the total number of NTD-affected pregnancies declined from 4,000 prior to the folic
acid mandate to 3,000 after mandatory fortification. In addition, various economic models
have shown that mandatory fortification results in favourable benefit-to-cost ratios (Grosse
2004; Horton 2003; Romano et al, 1995).
Potential adverse effects
Studies addressed:

Masking of vitamin B12 deficiency - A study of 1,573 mainly African American women
and men from a Veterans Affairs Centre found that the proportion of people who had
poor vitamin B12 status without anaemia did not change significantly from the pre
fortification period (39.2%) to after full implementation of mandatory fortification
(37.6%). This study concluded that mandatory fortification did not increase the
prevalence of masking of vitamin B12 deficiency (Mills et al, 2003). The introduction
of mandatory fortification was found to increase the number of people who would be
considered at-risk for masking of vitamin B12 deficiency, however, this value still
remains below 1% and no actual cases of masking were reported in the US.

Twinning - Out of more than 2.5 million births in California, there has been no reported
increase in the incidence of twinning after the mandatory fortification of the US food
supply relative to the pre-fortification period (Shaw et al, 2003). Similar results were
found when comparing data from over 1 million births in Texas. A general increase in
the prevalence of twinning has been noted to have occurred over the past decade, which
was attributed to factors such as increasing maternal age at parity, rather than the
fortification program (Waller et al, 2003).
3.
Consideration of mandatory fortification in the United Kingdom
Background
Since the mid- to late 1980s, the United Kingdom (UK) has adopted a voluntary approach to
fortification of foods with folic acid. Though few products are fortified, an estimated 80-90%
of breakfast cereals are fortified with varying levels of folic acid. The UK also continues to
promote the uptake of folic acid supplements and to encourage consumption of folate-rich
foods by women of childbearing age.
65
In January 2000, a report titled Folic Acid and Prevention of Disease was published by the
Department of Health, England (Department of Health 2000). This report (COMA report),
concluded that on scientific, medical and public health grounds, universal fortification of
flour with folic acid at 240 g/ 100 g in food products as consumed would have a significant
effect in preventing NTD-affected births and pregnancies, without resulting in unacceptably
high intakes in any other population groups. However, the report also concluded that higher
folic acid intakes might affect vitamin B12 deficiency, particularly in the 50+ age group, and
make the signs of deficiency less easy to detect by delaying onset of anaemia.
The UK Health Departments and Food Standards Agency (FSA) consulted on the COMA
report and held a joint stakeholder meeting to discuss the issues identified. In 2002, the FSA
Board discussed the issue of mandatory fortification in detail. In considering the issue, the
FSA looked at evidence of the impact of varying the fortification rate on the intakes of UK
population groups, in particular, the potential risk of high intakes of folic acid among older
groups of the population to mask vitamin B12 deficiency. This deficiency affects about 5% of
people aged 65-74 years, and over 10% of those aged 75 years or older (Clarke et al, 2004).
The FSA Board concluded by a majority, and provided advice to Health Ministers, not to
currently recommend the mandatory fortification approach (Food Standards Agency (FSA)
2002).
Health Ministers accepted the proffered advice due to outstanding concerns about vitamin B12
deficiency. However, they agreed that the Scientific Advisory Committee on Nutrition
(SACN) would assess the wider impact of fortification and emerging evidence, including the
benefits and risks to older people and other population groups. Ministers also wished to
consider options to increase usage of peri-conceptional supplements, increase dietary intakes
of folate and to identify the prevalence of vitamin B12 deficiency.
Public health impacts of voluntary fortification
There has been no formal assessment of voluntary folic acid fortification and there remains
very little fortification of food products. Whilst it is useful to examine folate status, it is
difficult to assess whether any of the observations can be attributed solely to fortification
practices and/or a greater public awareness of folic acid following the conduct of nutrition
education campaigns in the mid 1990s.
Folate intakes
It is difficult to estimate the contribution to folic acid intakes by voluntary folic acid
fortification as there is no information on changes to folic acid intakes over time. The
COMA report quotes information from the National Diet and Nutrition Survey (NDNS) of 4
to 18 year olds (Gregory et al, 2000), which found that the breakfast cereal category
contributed to 25% and 20% of male and female folic acid intakes respectively. If
extrapolated to the wider population, such information indicates that voluntary fortification is
already contributing to a sizable proportion of folic acid intakes by the UK population.
However, total intakes of folate for women of childbearing age remain below the amount
required to prevent NTDs.
66
Red Blood Cell (RBC) folate levels
Measurements of RBC status are collected as part of the NDNS programme which has looked
at 4 age groups from toddlers aged 1½ years to the elderly aged 65 years and over in the past
two decades. Each survey looks at a different age cohort and therefore does not allow for an
assessment of RBC folate levels over time. Current mean RBC folate status of adults falls
within normal ranges (422 nmol/L to 1463 nmol/L) (Department of Health 2000; Ruston et
al, 2004). The older age group (50-64 years) had, on average, higher RBC folate levels than
those free living elderly adults aged 65-74 years who were surveyed in the mid 1990s,
although these two age groups are likely to have different dietary patterns and lifestyles.
NTD rates
The UK has monitored notified congenital anomaly statistics including NTD-affected
pregnancies since 1964. Surveillance shows that the incidence of NTDs, which includes
births, stillbirths, terminations and an adjustment for under reporting, has decreased from
36.6/10,000 births in the 1970s through to 5.8/10,000 births in 2000 (Food Standards Agency
(FSA) 2002; NZMoH 2003). The UK statistics demonstrate that NTD rates have been in
noticeable decline prior to voluntary fortification practices which commenced in 1987
(McDonnell et al, 1999).
67
Attachment 7
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